Eugene R. Salati
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.
Eugene Robert Salati, who also goes by Eugene R Salati, was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1995. Eugene had worked at 9 firms and has passed the Series 63, Series 55 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
November 5, 2012 - August 6, 2013
BERNARD HEROLD & CO., INC.
June 20, 2011 - July 13, 2011
PRUCO SECURITIES, LLC.
January 6, 2010 - July 28, 2010
REPEX & CO., INC.
February 14, 2008 - February 25, 2008
J.H. DARBIE & CO., INC.
April 5, 2007 - May 4, 2007
DAVID LERNER ASSOCIATES, INC.
September 8, 2003 - July 14, 2006
UBS FINANCIAL SERVICES INC.
May 15, 1998 - July 25, 2002
DREYFUS BROKERAGE SERVICES, INC.
April 9, 1996 - March 5, 1998
TD AMERITRADE, INC.
October 30, 1995 - March 28, 1996
CHATFIELD DEAN & 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: 8/3/2013
Limited Representative-Equity Trader ExamCurrent Firm
BERNARD HEROLD & CO., INC.
CRD#: 6193 / SEC#: , 8-17005
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HEROLD, LAWRENCE STEPHEN | CHAIRMAN, PRESIDENT, ASST SEC, TREAS, DIR, CHIEF COMPLIANCE OFFICER | 870531 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
