Paul Pertusi
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.
Paul Pertusi, who also goes by Paul J Pertusi, Paul Joseph Pertusi, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1993. Paul had worked at 4 firms and has passed the Series 63, Series 56 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
July 25, 2014 - October 8, 2014
AVATAR SECURITIES, LLC
June 25, 2012 - April 2, 2014
WTS PROPRIETARY TRADING GROUP LLC
January 10, 2012 - March 14, 2012
WTS PROPRIETARY TRADING GROUP LLC
November 10, 1993 - March 28, 1995
CITICORP INVESTMENT SERVICES
May 17, 1993 - September 14, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 56
Date: 1/9/2012
Proprietary Trader Qualification ExaminationCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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