Gilad Sartena
Professional summary
Being a previously registered professional could mean that this person 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.
Gilad Sartena, who also goes by Gil Sartena, was a registered financial professional .
Gilad is a previously registered financial professional and started their career in finance in 1987. Gilad had worked at 7 firms and has passed the Series 63, Series 55, Series 3, Series 15, Series 5, Series 7, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2005 - May 27, 2005
GUNNALLEN FINANCIAL, INC
March 4, 2002 - January 28, 2005
VFINANCE INVESTMENTS, INC
February 2, 2001 - March 4, 2002
HD BROUS & CO., INC.
May 8, 1997 - January 21, 2003
SARTENA SECURITIES, INC.
May 10, 1993 - May 12, 1998
OSCAR GRUSS & SON INCORPORATED
March 16, 1990 - April 26, 1993
PRUDENTIAL EQUITY GROUP, LLC
March 24, 1987 - March 28, 1990
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 12/21/2000
Limited Representative-Equity Trader ExamSeries 15
Date: 6/30/1988
Foreign Currency Options ExaminationSeries 5
Date: 6/10/1988
Interest Rate Options ExaminationCurrent Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
Red Flags
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.
