Alfred L. Pantaleone
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.
Alfred Louis Pantaleone, who also goes by Alfred Louis Pantaeone, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1987. Alfred had worked at 9 firms and has passed the Series 63, SIE and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2014 - June 26, 2015
LEGEND SECURITIES, INC.
September 23, 2013 - July 24, 2014
AEGIS CAPITAL CORP.
August 19, 2008 - September 23, 2013
BUCKMAN, BUCKMAN & REID, INC.
March 9, 2007 - June 6, 2008
GUNNALLEN FINANCIAL, INC
October 12, 2004 - March 15, 2007
BUCKMAN, BUCKMAN & REID, INC.
September 15, 2004 - October 8, 2004
DOMESTIC SECURITIES, INC.
October 6, 2003 - September 14, 2004
BUCKMAN, BUCKMAN & REID, INC.
December 18, 2001 - November 11, 2002
HILL THOMPSON MAGID & CO., INC.
June 20, 2000 - October 31, 2001
GRUNTAL & CO., L.L.C.
April 12, 1988 - June 12, 2000
OPPENHEIMER & CO. INC.
April 1, 1988 - April 12, 1988
FAHNESTOCK INTERNATIONAL INC.
April 2, 1987 - April 1, 1988
OPPENHEIMER & CO. INC.
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: 11/1/1999
Limited Representative-Equity Trader ExamCurrent Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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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