Vincent P. Sarnatora
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.
Vincent P Sarnatora, who also goes by VIncent Patrick Sarnatora, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1993. Vincent had worked at 13 firms and has passed the Series 65, Series 63, Series 87, Series 7, Series 4, Series 24, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2013 - June 23, 2014
H.C.WAINWRIGHT & CO., LLC
April 28, 2006 - April 20, 2012
RODMAN & RENSHAW, LLC
July 14, 2004 - April 26, 2006
S.W. BACH & COMPANY
October 26, 2001 - July 9, 2004
BREAN MURRAY & CO., INC.
February 7, 2000 - September 7, 2001
LADENBURG THALMANN & CO. INC.
August 10, 1998 - February 4, 2000
OSCAR GRUSS & SON INCORPORATED
March 21, 1998 - August 7, 1998
FAIRCHILD FINANCIAL GROUP, INC.
October 17, 1997 - February 27, 1998
SSI SECURITIES CORP.
October 16, 1997 - March 9, 1998
EARLYBIRDCAPITAL, INC.
October 1, 1997 - February 27, 1998
GKN SECURITIES CORP.
January 10, 1995 - September 12, 1997
RICKEL & ASSOCIATES, INC.
May 19, 1994 - January 9, 1995
HALPERT AND COMPANY, INC.
March 9, 1993 - May 5, 1994
GRUNTAL & CO., L.L.C.
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 8
Date: 3/11/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
H.C.WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
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.
