Lucille A. Desario
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.
Lucille A Desario, who also goes by Lucille Cataldo, Lucille Esposito, was a registered financial professional .
Lucille is a previously registered financial professional and started their career in finance in 1991. Lucille had worked at 2 firms and has passed the Series 63, SIE, Series 55 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2014 - December 7, 2015
GLOBAL OAK CAPITAL MARKETS LLC
May 8, 1991 - September 10, 2014
JONESTRADING
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: 12/14/1999
Limited Representative-Equity Trader ExamSeries 62
Date: 5/7/1991
Corporate Securities Limited Representative ExaminationCurrent Firm
GLOBAL OAK CAPITAL MARKETS LLC
CRD#: 125860 / SEC#: , 8-65829
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANGEL OAK GLOBAL MARKETS, LLC | OWNER | |
| DRAKE, WILLIAM FRANCIS III | OWNER | 1621314 |
| LIEBERGALL, JONATHAN SCOTT | OWNER / CEO | 1744845 |
| PARKWAY INVESTMENT MANAGEMENT | OWNER | |
| WALKER, FREDERICK EUCLID | OWNER | 2360896 |
| MAGBALON, MICHAEL JOHN | OWNER | 7220640 |
| TOFT, CHRISTIAN DAVID | OWNER | 4389124 |
| KATZ, MARIE | CFO, FINOP, CCO | 2457660 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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