Dominick Ferranti
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.
Dominick Ferranti was a registered financial professional .
Dominick is a previously registered financial professional and started their career in finance in 1993. Dominick had worked at 7 firms and has passed the Series 63, SIE, Series 55 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
August 1, 2012 - December 20, 2016
SENTINEL BROKERS COMPANY, INC.
January 26, 2010 - August 2, 2012
WHITAKER SECURITIES LLC
January 15, 2008 - January 22, 2010
RAFFERTY CAPITAL MARKETS, LLC
May 31, 2005 - February 6, 2008
SEABOARD SECURITIES, INC.
October 29, 2002 - May 31, 2005
GFI SECURITIES LLC
February 12, 2001 - October 18, 2002
PRIME CAPITAL SERVICES, INC.
June 30, 1993 - January 23, 2001
MORGAN STANLEY DW 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: 4/17/2000
Limited Representative-Equity Trader ExamCurrent Firm
SENTINEL BROKERS COMPANY, INC.
CRD#: 40305 / SEC#: , 8-49005
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENTINEL BROKERS LLC | SHAREHOLDER | |
| SED CAPITAL PTE LTD | OWNER | |
| LAWLESS, JOSEPH MATHEW | CEO, CCO | 1783307 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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