Stephen A. Iatarola
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.
Stephen Anthony Iatarola, who also goes by Stephen A Iatarola, Steve Iatarola, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1990. Stephen had worked at 13 firms and has passed the Series 63, Series 65, SIE 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 30, 2019 - January 15, 2020
A.G.P. / ALLIANCE GLOBAL PARTNERS
April 6, 2016 - June 11, 2018
GREAT PACIFIC SECURITIES
July 14, 2011 - November 2, 2015
ADVISORS ASSET MANAGEMENT, INC.
July 6, 2011 - November 2, 2015
ADVISORS ASSET MANAGEMENT, INC.
August 21, 2007 - September 26, 2008
TD WEALTH MANAGEMENT SERVICES INC.
May 19, 2006 - July 16, 2007
SAMCO CAPITAL MARKETS, INC.
December 9, 2005 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
April 20, 2005 - January 4, 2006
ADVEST, INC.
June 24, 2004 - April 14, 2005
AMHERST SECURITIES GROUP, L.P.
May 19, 2004 - June 23, 2004
CAROLINA CAPITAL MARKETS, INC.
April 15, 2002 - April 29, 2004
RBC CAPITAL MARKETS, LLC
March 9, 2002 - April 29, 2004
RBC CAPITAL MARKETS, LLC
January 4, 2000 - March 9, 2002
TUCKER ANTHONY INCORPORATED
September 3, 1996 - January 25, 2000
LEGG MASON WOOD WALKER, INCORPORATED
August 13, 1993 - September 10, 1996
TUCKER ANTHONY INCORPORATED
December 7, 1990 - July 27, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
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
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE GLOBAL HOLDINGS, INC. | HOLDING COMPANY | |
| GAMBARDELLA, RAFFAELE | COO/CHIEF RISK OFFICER | 2448073 |
| HIGGINS, THOMAS JOSEPH | PRINCIPAL OPERATIONS OFFICER | 1477505 |
| KLEIN, CRAIG ERIN | CFO, PRINCIPAL FINANCIAL OFFICER | 3253836 |
| LAURIELLO, ANTHONY JOSEPH | MUNICIPAL SECURITIES PRINCIPAL | 1086881 |
| MICHALS, PHILLIP WILLIAM | CHIEF EXECUTIVE OFFICER | 2414124 |
| VENEZIA, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | 2737135 |
Regulatory assets under management
| Total Number of Accounts | 6,959 |
| AUM (Assets Under Management) | $ 2,300,125,872 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
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.
