Ernest J. Silano
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.
Ernest James Silano was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1996. Ernest had worked at 21 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2012 - April 20, 2012
INTERNATIONAL ASSETS ADVISORY, LLC
October 25, 2011 - May 11, 2012
LEGEND MERCHANT GROUP, INC.
March 1, 2011 - October 18, 2011
LAMPERT CAPITAL MARKETS INC.
March 11, 2009 - July 30, 2009
SEABOARD SECURITIES, INC.
February 8, 2007 - February 18, 2009
WINDSOR STREET CAPITAL, LP
September 20, 2006 - January 24, 2007
BISHOP, ROSEN & CO., INC.
November 21, 2005 - October 19, 2006
ANDREW GARRETT INC.
January 18, 2005 - November 28, 2005
R.M. STARK & CO., INC.
May 20, 2004 - January 13, 2005
GUNNALLEN FINANCIAL, INC
April 21, 2004 - May 24, 2004
MAXIM GROUP LLC
November 25, 2003 - April 26, 2004
S.W. BACH & COMPANY
April 23, 2003 - June 4, 2003
CONTINENTAL BROKER-DEALER CORP.
November 18, 2002 - December 18, 2003
HARRISON SECURITIES, INC.
September 27, 2002 - November 18, 2002
GUNNALLEN FINANCIAL, INC
February 7, 2001 - November 22, 2002
SCHNEIDER SECURITIES, INC.
November 16, 2000 - January 8, 2001
NEW WORLD FINANCIAL, INC.
March 7, 2000 - December 31, 2000
PACIFIC CONTINENTAL SECURITIES CORPORATION
July 6, 1999 - February 23, 2000
FIRST LIBERTY INVESTMENT GROUP, INC.
July 24, 1998 - October 19, 1998
THE THERMOPYLAE GROUP, INC.
May 18, 1998 - June 22, 1998
GUNNALLEN FINANCIAL, INC
September 24, 1997 - April 29, 1998
DUKE & CO., INC.
October 29, 1996 - September 11, 1997
MAY, DAVIS GROUP INC.
September 13, 1996 - October 23, 1996
FIRST CAMBRIDGE SECURITIES CORPORATION
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
