Salvatore A. Giunta

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CRD#: 2176793

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.

Salvatore Anthony Giunta, who also goes by Salvatore Anthony Jr Giunta, was a registered financial professional .

Salvatore is a previously registered financial professional and started their career in finance in 1991. Salvatore had worked at 7 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Salvatore Anthony Jr Giunta

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 30, 2006 - November 9, 2012

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

HOWARD BEACH, NY

Past

December 11, 2001 - April 27, 2004

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

MELVILLE, NY

Past

March 26, 1999 - March 10, 2000

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

November 6, 1995 - June 27, 1997

FLEET ENTERPRISES, INC.

CRD#: 17434

NEW YORK, NY

Past

February 15, 1995 - June 9, 1995

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

October 29, 1993 - January 31, 1995

FLEET ENTERPRISES, INC.

CRD#: 17434

NEW YORK, NY

Past

October 2, 1992 - September 15, 1993

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, NY

Past

October 17, 1991 - July 23, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

October 17, 1991 - July 23, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 11/16/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/1/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/15/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/20/1999

General Securities Principal Examination

Current Firm

CAPITAL ONE INVESTMENT SERVICES LLC

CAPITAL ONE INVESTMENT SERVICES CORPORATION | NFB INVESTMENT SERVICES CORPORATION | NFB INVESTMENT SERVICES CORP. | COMPASS INVESTMENT SERVICES CORP. | CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658 / SEC#: , 8-41948

Terminated by SEC on 03/31/2015

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 07/31/2008

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
CAPITAL ONE, N.A.	SOLE SHAREHOLDER
BUTLER, YVETTE	PRESIDENT & CEO	2471482
CONSTANTINO, KRISTEN DANIELLE	CHIEF COMPLIANCE OFFICER	3001473
DEBLANC, RONALD JOSEPH	CHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL	1672968
DELMONACO, JEAN MARIE	MSRB PRINCIPAL	1452891

Disclosures

Regulatory Event	2
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.

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Firm Stability Insights

Salvatore A. Giunta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL ONE INVESTMENT SERVICES LLC

CITICORP INVESTMENT SERVICES

FLEET ENTERPRISES, INC.

ESSEX NATIONAL SECURITIES, LLC

FLEET ENTERPRISES, INC.

FIRST ASSET MANAGEMENT, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/16/1992

Series 7

Date: 10/1/1992

Series 6

Date: 10/15/1991

Series 24

Date: 7/20/1999

Current Firm

CAPITAL ONE INVESTMENT SERVICES LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPITAL ONE INVESTMENT SERVICES LLC

TRUST BUT VERIFY

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