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Angelo Robert Vasiento Iii

CRD# 1514617·Registered 1988 - 2020
Previously Registered: Being a previously registered professional could mean that Angelo is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Angelo Robert Vasiento III, who also goes by Angelo R Vasiento, was a registered financial advisor. Angelo was a previously registered financial professional and started their career in finance 1988 - 2020. Angelo had worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Angelo R Vasiento

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

39 years in the financial services industry

Current & Past Employments

WHITAKER SECURITIES LLC·CRD# 121465
BD
Garden City, NY
August 8, 2018 - January 31, 2020
DINOSAUR FINANCIAL GROUP, L.L.C·CRD# 104446
BD
New York, NY
January 10, 2017 - August 10, 2018
SEIDEL & CO., LLC·CRD# 42821
BD
New York, NY
July 16, 2014 - January 3, 2017
THE VERTICAL GROUP·CRD# 104353
BD
Red Bank, NJ
November 19, 2013 - July 18, 2014
BGC FINANCIAL, L.P.·CRD# 19801
BD
New York, NY
August 15, 2011 - October 8, 2013
TULLETT PREBON FINANCIAL SERVICES LLC·CRD# 28196
BD
New York, NY
December 15, 2009 - July 28, 2011
RAFFERTY CAPITAL MARKETS, LLC·CRD# 23682
BD
New York, NY
January 12, 2009 - December 15, 2009
GFI SECURITIES LLC·CRD# 19982
BD
New York, NY
June 4, 2008 - November 24, 2008
TULLETT PREBON FINANCIAL SERVICES LLC·CRD# 28196
BD
New York, NY
June 23, 1999 - June 5, 2008
TULLETT PREBON FINANCIAL SERVICES LLC·CRD# 28196
BD
May 26, 1999 - June 17, 1999
COWEN AND COMPANY·CRD# 7616
BD
New York, NY
July 1, 1998 - June 7, 1999
FINANCIAL SQUARE PARTNERS·CRD# 1541
BD
New York, NY
January 25, 1993 - July 1, 1998
W.A. CAPITAL MARKETS·CRD# 6292
BD
New York, NY
September 9, 1992 - January 20, 1993
FUNDAMENTAL CORPORATE BOND BROKERS·CRD# 28198
BD
February 28, 1991 - September 9, 1992
FUNDAMENTAL CORPORATE BOND BROKERS, INC.·CRD# 15147
BD
March 7, 1990 - February 28, 1991
MINT BROKERS·CRD# 13681
BD
New York, NY
January 19, 1988 - September 13, 1989

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Current Firm

WS
WHITAKER SECURITIES LLC

QUEST BROKERS | WHITAKER SECURITIES LLC

CRD#: 121465 / SEC#: 8-65419
BD
Terminated by SEC on 09/16/2023

Contact Information

Established

Delaware since 05/13/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
NICOSIA, ROSALIE MARGARETCHIEF COMPLIANCE OFFICER, CRCP4239124

Disclosures

Regulatory Event

6

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1987About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 1988About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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