Dolores Bianchi
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.
Dolores Bianchi, who also goes by Dolores Moraio, was a registered financial professional .
Dolores is a previously registered financial professional and started their career in finance in 1998. Dolores had worked at 5 firms and has passed the Series 63, Series 55, Series 62 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 27, 2011 - April 20, 2012
RODMAN & RENSHAW, LLC
March 10, 2003 - May 27, 2011
HUDSON SECURITIES,INC.
September 9, 2002 - March 21, 2003
GOLDMAN SACHS & CO. LLC
September 1, 1999 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 25, 1998 - October 6, 1999
APEX CLEARING CORPORATION
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: 2/26/2000
Limited Representative-Equity Trader ExamSeries 62
Date: 2/3/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
RODMAN & RENSHAW, LLC
CRD#: 16415 / SEC#: , 8-33862
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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