Fred J. Gonfiantini
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.
Fred J Gonfiantini was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1986. Fred had worked at 7 firms and has passed the Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2007 - July 25, 2008
PRIME DEALER SERVICES CORP.
June 28, 2004 - August 6, 2007
PRIME DEALER SERVICES CORP.
June 28, 2004 - July 25, 2008
MS SECURITIES SERVICES INC.
March 26, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
December 4, 2003 - January 10, 2006
MORGAN STANLEY DISTRIBUTORS INC.
October 6, 2003 - July 25, 2008
MORGAN STANLEY MARKET PRODUCTS INC.
January 28, 1987 - March 15, 2012
MORGAN STANLEY & CO. LLC
December 26, 1986 - April 14, 1987
THE STUART-JAMES COMPANY, INCORPORATED
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
Current Firm
PRIME DEALER SERVICES CORP.
CRD#: 36142 / SEC#: , 8-47025
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY & CO. LLC | SHAREHOLDER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| GRECO, ANTHONY | DIRECTOR, PRESIDENT, AND CHIEF EXECUTIVE OFFICER | 4853800 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| MOSKOWITZ, DOUGLAS IRWIN | CHIEF COMPLIANCE OFFICER | 2396405 |
| MURRAY, CHRISTOPHER A | DIRECTOR | 3128073 |
| RUBIN, GERALD | DIRECTOR | 2950891 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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