Lorenzo Formato
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.
Lorenzo Formato was a registered financial professional .
Lorenzo is a previously registered financial professional and started their career in finance in 1974. Lorenzo had worked at 9 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
March 19, 1980 - December 21, 1982
ROYER SECURITIES COMPANY
July 24, 1979 - November 10, 1979
ROSS, STEBBINS INC.
June 28, 1978 - February 1, 1983
A. L. WILLIAMSON & COMPANY
December 21, 1977 - October 7, 1978
FRIEDMAN, MANGER & CO., INC.
November 18, 1975 - February 5, 1977
ROONEY, PACE INC.
November 4, 1974 - December 19, 1975
FIRST JERSEY SECURITIES, INC.
June 26, 1974 - August 20, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
June 26, 1974 - January 5, 1975
HIMCO DISTRIBUTION SERVICES COMPANY
May 16, 1974 - December 1, 1974
MAYFLOWER SECURITIES CO., 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: 5/13/1974
Registered Representative ExaminationCurrent firm
No current employment
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.
