Alfonso G. Iervolino
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.
Alfonso Gulio Iervolino, who also goes by Alfonso Gulio Iervolino Jr, Alfonso Iervolino Jr, was a registered financial professional .
Alfonso is a previously registered financial professional and started their career in finance in 1988. Alfonso had worked at 11 firms and has passed the Series 63, SIE, Series 7 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
May 1, 2013 - July 1, 2022
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
January 3, 2012 - November 12, 2012
COWEN EQUITY FINANCE LP
September 25, 2008 - March 1, 2011
PALOMA SECURITIES L.L.C.
December 15, 2006 - March 24, 2008
JEFFERIES LLC
May 18, 2005 - December 12, 2006
ING FINANCIAL MARKETS LLC
August 26, 2002 - May 6, 2005
COMMERZBANK CAPITAL MARKETS CORP.
June 3, 1999 - November 2, 1999
ICAP SECURITIES USA LLC
June 29, 1998 - March 17, 1999
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
February 7, 1995 - September 2, 1997
SBC WARBURG, INC.
February 23, 1988 - January 25, 1995
KIDDER, PEABODY & CO. 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
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
CRD#: 131487 / SEC#: , 8-66471
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDUSTRIAL AND COMMERCIAL BANK OF CHINA LIMITED | OWNER | |
| CHEN, MING | DEPUTY CHIEF EXECUTIVE OFFICER, FINANCE | 6612667 |
| GU, JIHONG | MANAGER, BOARD OF MANAGERS | 7246351 |
| LONG, HUA | MANAGER, BOARD OF MANAGERS | 7893463 |
| LYU, YU | EXECUTIVE CHAIRMAN, BOARD OF MANAGERS | 8016015 |
| SCHWARTZ, LANNY ALAN | MANAGER, BOARD OF MANAGERS | 2067101 |
| VIRGILIO, ROBERT | CHIEF COMPLIANCE OFFICER | 1464899 |
| ZHU, YOUXI | MANAGER, BOARD OF MANAGERS | 7354740 |
Disclosures
| Regulatory Event | 6 |
| Criminal | 1 |
Red Flags
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