Salvatore C. Assorgi
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.
Salvatore Carmine Assorgi, who also goes by Sal Assorgi, was a registered financial professional .
Salvatore is a previously registered financial professional and started their career in finance in 1988. Salvatore had worked at 10 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
March 26, 2003 - December 31, 2004
PRIME CAPITAL SERVICES, INC.
October 13, 1999 - April 2, 2001
BNY INVESTMENT CENTER INC.
August 30, 1999 - October 20, 1999
COWEN EXECUTION SERVICES LLC
August 6, 1996 - October 20, 1998
SUMMIT FINANCIAL SERVICES GROUP, INC.
August 28, 1995 - January 20, 1996
C. J. M. PLANNING CORP.
February 2, 1993 - July 7, 1995
CETERA WEALTH SERVICES, LLC
April 14, 1992 - May 27, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 14, 1992 - May 27, 1992
PRUCO SECURITIES, LLC.
March 23, 1989 - August 22, 1990
LOMBARD SECURITIES CORP.
March 22, 1988 - February 28, 1989
INVESTORS CENTER, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PRIME CAPITAL SERVICES, INC.
CRD#: 18334 / SEC#: , 8-36492
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
Red Flags
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