Silvio J. Fassio
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.
Silvio James Fassio was a registered financial professional .
Silvio is a previously registered financial professional and started their career in finance in 1973. Silvio had worked at 4 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 1985 - December 31, 1997
AMERICAN FUNDS & TRUSTS INCORPORATED
June 7, 1976 - January 27, 1984
FIRST EQUITIES CORP.
May 1, 1975 - August 1, 1976
OLSEN & COMPANY
March 12, 1973 - March 12, 1976
MOUNTAIN STATES SECURITIES, 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 1
Date: 3/2/1973
Registered Representative ExaminationCurrent Firm
AMERICAN FUNDS & TRUSTS INCORPORATED
CRD#: 1066 / SEC#: , 8-6939
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 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.
