Fabio R. Borgognone
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.
Fabio Robert Borgognone was a registered financial professional .
Fabio is a previously registered financial professional and started their career in finance in 1993. Fabio had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 1999 - March 18, 1999
TRAUTMAN WASSERMAN & COMPANY, INC.
October 24, 1997 - October 19, 1998
THE THERMOPYLAE GROUP, INC.
May 28, 1997 - August 28, 1997
BRIARWOOD INVESTMENT COUNSEL
March 24, 1997 - April 25, 1997
LT LAWRENCE & CO., INC.
November 29, 1996 - March 21, 1997
CORTLANDT CAPITAL CORPORATION
September 27, 1996 - December 16, 1996
MAIDSTONE FINANCIAL, INC.
September 12, 1995 - October 23, 1996
FIRST CAMBRIDGE SECURITIES CORPORATION
April 13, 1995 - September 15, 1995
TUSCANY EQUITY MANAGEMENT CORPORATI0N
January 10, 1994 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
March 23, 1993 - January 14, 1994
D. H. BLAIR & CO., INC.
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
Current Firm
TRAUTMAN WASSERMAN & COMPANY, INC.
CRD#: 33007 / SEC#: , 8-45755
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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