Roberto G. Gatti
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.
Roberto Giovanni Gatti was a registered financial advisor .
Roberto is a previously registered financial advisor and started their career in finance in 1996. Roberto had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 9, Series 10 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
February 16, 2007 - October 8, 2007
CANTOR FITZGERALD & CO.
November 14, 2006 - April 25, 2007
CHASE INVESTMENT SERVICES CORP.
September 21, 2006 - April 25, 2007
CHASE INVESTMENT SERVICES CORP.
January 1, 2005 - September 11, 2006
HSBC SECURITIES (USA) INC.
September 28, 2001 - January 1, 2005
HSBC BROKERAGE (USA) INC.
March 30, 2000 - October 15, 2001
CITICORP INVESTMENT SERVICES
April 19, 1996 - March 28, 1997
NYLIFE SECURITIES LLC
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
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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