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DS

Douglas A. Sanzone

Some features on this profile are disabled
CRD#: 1646194
DS

Professional summary

Douglas Arthur Sanzone was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Douglas is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Douglas had worked at 7 firms, which includes BARDOWN CAPITAL LLC, BAYES CAPITAL LLC, COMHAR CAPITAL MARKETS LLC, GOLDMAN SACHS EXECUTION & CLEARING L.P., DEUTSCHE IXE LLC, ROSENBLATT SECURITIES INC., TWENTY-FIRST SECURITIES CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Douglas Arthur Sarzone

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 7, 2013 - June 3, 2019

BARDOWN CAPITAL LLC

BD
CRD#: 158970
OLD TAPPAN, NJ
Past

June 25, 2013 - July 2, 2018

BAYES CAPITAL LLC

BD
CRD#: 159644
OLD TAPPAN, NJ
Past

October 18, 2010 - May 2, 2011

COMHAR CAPITAL MARKETS, LLC

BD
CRD#: 47955
WILMETTE, IL
Past

June 3, 2010 - September 14, 2010

COMHAR CAPITAL MARKETS, LLC

BD
CRD#: 47955
WILMETTE, IL
Past

November 22, 1999 - August 26, 2002

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

March 26, 1993 - December 11, 1998

DEUTSCHE IXE, LLC

BD
CRD#: 7172
NEW YORK, NY
Past

May 11, 1990 - March 4, 1993

ROSENBLATT SECURITIES INC.

BD
CRD#: 18377
NEW YORK, NY
Past

July 19, 1989 - October 4, 1989

TWENTY-FIRST SECURITIES CORPORATION

BD
CRD#: 14461
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/11/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 11/5/2012
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/2/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/15/2012
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/9/2012
Registered Options Principal Examination

Current Firm

BC
BARDOWN CAPITAL LLC
BARDOWN CAPITAL LLC | BAYES CAPITAL MARKETS LLC

CRD#: 158970 / SEC#: , 8-68953

BD
Terminated by SEC on 07/27/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/08/2011
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
G2 INVESTMENT FUND LLCMANAGING MEMBER
MARKET MEMORY TRADING, LLCMEMBER
SANZONE, DOUGLAS ARTHURCEO , CCO AND MEMBER1646194
BCTWO LLCMEMBER
GERACI, JOHN CHARLESCHIEF OPERATING OFFICER1365684
MORRISSEY, MATTHEW PAULMEMBER2971073
RANKEL, WILLIAM EDWINFINOP2074785

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.

Company Information

BARDOWN CAPITAL LLC

CRD#: 158970

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