Lawrence C. Salerno
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.
Lawrence Charles Salerno was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1987. Lawrence had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2002 - September 24, 2012
ROSENTHAL GLOBAL SECURITIES LLC
November 1, 2000 - October 4, 2002
TRADITION SECURITIES AND DERIVATIVES LLC
December 3, 1998 - January 4, 1999
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
September 23, 1997 - November 30, 1998
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
July 19, 1996 - June 12, 1997
CIBC WOOD GUNDY SECURITIES CORP.
April 20, 1990 - October 5, 1995
NOMURA SECURITIES INTERNATIONAL, INC.
January 25, 1990 - May 2, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 1987 - March 4, 1991
MERRILL LYNCH GOVERNMENT SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
ROSENTHAL GLOBAL SECURITIES LLC
CRD#: 19721 / SEC#: , 8-38021
Contact information
Documents
Red Flags
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