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LS

Louis J. Sorrentino

Some features on this profile are disabled
CRD#: 2192207
LS

Professional summary

Louis Joseph Sorrentino was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Louis is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Louis had worked at 4 firms, which includes FIRST MONTAUK SECURITIES CORP., LCP CAPITAL CORP., FIRST METROPOLITAN SECURITIES INC., A.S. GOLDMEN & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lou Sorrentino | Louis Sorrentino

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

October 19, 1998 - June 18, 1999

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

June 12, 1998 - August 11, 1998

LCP CAPITAL CORP.

BD
CRD#: 14469
STATEN ISLAND, NY
Past

September 12, 1995 - June 9, 1998

FIRST METROPOLITAN SECURITIES, INC.

BD
CRD#: 7594
NEW YORK, NY
Past

April 7, 1993 - November 15, 1995

LCP CAPITAL CORP.

BD
CRD#: 14469
STATEN ISLAND, NY
Past

May 7, 1992 - March 25, 1993

A.S. GOLDMEN & CO., INC.

BD
CRD#: 23180
RED BANK, 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
RR
Series 63
Date: 5/29/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/4/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/15/1995
General Securities Principal Examination

Current Firm

FM
FIRST MONTAUK SECURITIES CORP.
ADVANCED INVESTMENT | WEALTH MANAGEMENT DESIGN | WASHINGTON ASSET MANAGEMENT | VENTURE WEALTH MANAGEMENT | VC MANAGEMENT | UNION ADVANTAGE FINANCIAL | THE LARAWAY FINANCIAL GROUP | THE CARDINAL HILL GROUP | SHARMA CAPITAL | SCHREIBER INVESTMENT COMPANY | ROME CAPITAL MANAGEMENT | QUIGLEY TAX ADVISORY GROUP | PHG ASSET MANAGEMENT & DEVELOPMENT | PERSONAL INVESTMENT CENTERS | MONTAUK FINANCIAL GROUP | MOFIELD & ASSOC. | MILLER AND CHRISTIAN ASSET MANAGEMENT | MFG/BOGGS,BUSTAMANTE,BELMONTE FINANCIAL GROUP | MCM CONSULTING & MANAGEMENT SERFICES | LYL INVESTMENTS | KAROON CAPITAL MANAGEMENT | INVESTMENT ASSET MANAGEMENT | HUNT ASSET MANAGEMENT | HORIZON WEALTH SOLUTIONS | HAMPTON CAPITAL MANAGEMENT | GROTJAHN CAPITAL MANAGEMENT | FORTRESS WEALTH MANAGEMENT | FIRST MONTAUK SECURITIES CORP. | EVYAVAN ADVISORY SERVICES | CENTURY DISCOUNT INVESTMENTS | CAPITAL ESTATE ADVISORS | C & B FINANCIAL SVCS. | BUSINESS AND FINANCIAL SERVICES | BURTON CAPITAL STRATEGIES GROUP | BURNS ASSET MANAGEMENT | BONIELLO CAPITAL MANAGEMENT | BERRY ASSET MANAGEMENT | BELLI MONACO | BAUGHMAN FINANCIAL GROUP | BARRETT HAYNES FINANCIAL GROUP | BARREIRO AND ASSOCIATES | B & G CAPITAL MANAGEMENT | ASSET MANAGEMENT CONSULTANT | AMERICAN CAPITAL MANAGEMENT

CRD#: 13755 / SEC#: , 8-29748

BD
Terminated by SEC on 02/21/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 03/11/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST MONTAUK FINANCIAL CORP.CORPORATE PARENT AND SOLE STOCKHOLDER
HOROWITZ, MINDY ANNCHIEF FINANCIAL OFFICER/FINOP3036744
KURYLAK, VICTOR KEVINPRESIDENT, CHIEF EXECUTIVE OFFICER1664534
LEONARD, CELESTE MARIECHIEF COMPLIANCE OFFICER1258535

Disclosures

Regulatory Event25
Arbitration28
Bond5

Red Flags

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Company Information

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

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