Gemma B. Sartori
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.
Gemma Barbara Sartori, who also goes by Gemma Gioi, Gemma Barbara Muzzi, Gigi Muzzi, Gemma B Sartori, Gemma Sartori, was a registered financial professional .
Gemma is a previously registered financial professional and started their career in finance in 1991. Gemma had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 25 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
September 10, 2013 - December 26, 2014
PRIME EXECUTIONS, INC.
February 24, 2004 - May 29, 2012
MOGAVERO LEE & CO INC.
January 2, 2001 - December 17, 2003
BEAR WAGNER SPECIALISTS LLC
October 1, 2000 - January 2, 2001
HUNTER SPECIALISTS, LLC
October 31, 1995 - October 12, 1999
KALB, VOORHIS & CO., LLC
January 13, 1993 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
October 27, 1992 - January 12, 1993
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
February 15, 1991 - October 19, 1995
UBS FINANCIAL SERVICES 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: 12/13/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 11/10/2005
NYSE Trading Assistant ExaminationCurrent Firm
PRIME EXECUTIONS, INC.
CRD#: 32889 / SEC#: , 8-43985
Contact information
FINRA licenses (36 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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