Marilu J. Rumfolo
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.
Marilu Jones Rumfolo, who also goes by Marilu Cangelosi, Marilu Kutac, Marilu Rumfolo, was a registered financial professional .
Marilu is a previously registered financial professional and started their career in finance in 1992. Marilu had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2001 - May 15, 2012
P. A. N. SECURITIES, LP
September 18, 2000 - February 26, 2001
EISNER SECURITIES, INC.
April 17, 2000 - September 8, 2000
FIFTH STREET CAPITAL, LLC
January 22, 1998 - January 22, 1999
TEXAS CAPITAL SECURITIES, INC.
January 17, 1995 - November 6, 1995
ROBERT VAN SECURITIES, INC.
April 19, 1993 - December 31, 1997
FIRST MONTAUK SECURITIES CORP.
January 6, 1992 - September 18, 1992
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
P. A. N. SECURITIES, LP
CRD#: 104823 / SEC#: , 8-52964
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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