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Albert Benjamin Vespoli

CRD# 2447839·Registered 1994 - 2016
Previously Registered: Being a previously registered professional could mean that Albert 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.

Professional Summary

Albert Benjamin Vespoli was a registered financial advisor. Albert was a previously registered financial professional and started their career in finance 1994 - 2016. Albert had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 27, Series 24 and Series 28 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

32 years in the financial services industry

Current & Past Employments

TELSEY ADVISORY GROUP LLC·CRD# 148234
BD
New York, NY
June 8, 2011 - July 22, 2016
TD ARRANGED SERVICES LLC·CRD# 122529
BD
New York, NY
December 3, 2010 - June 3, 2011
LABRANCHE FINANCIAL SERVICES, LLC·CRD# 7432
BD
New York, NY
May 4, 2007 - December 9, 2010
J. B. HANAUER & CO.·CRD# 6958
BD
Parsippany, NJ
May 1, 2006 - May 17, 2007
INSTINET, LLC·CRD# 7897
BD
New York, NY
January 3, 2005 - May 8, 2006
INSTINET, LLC·CRD# 42886
BD
New York, NY
June 2, 2004 - May 8, 2006
NOMURA SECURITIES NORTH AMERICA, LLC·CRD# 42885
BD
New York, NY
June 2, 2004 - May 8, 2006
LADENBURG THALMANN & CO. INC.·CRD# 505
BD
New York, NY
April 6, 2001 - December 9, 2003
FIRST HUDSON FINANCIAL GROUP, INC.·CRD# 32926
BD
New York, NY
November 29, 2000 - April 10, 2001
NATIONAL SECURITIES CORPORATION·CRD# 7569
BD
Boca Raton, FL
November 27, 2000 - April 6, 2001
SHARPE CAPITAL, INC.·CRD# 18452
BD
New York, NY
May 30, 2000 - November 10, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.·CRD# 19710
BD
New York, NY
March 29, 1999 - March 15, 2000
STERLING FOSTER & COMPANY, INC.·CRD# 36052
BD
Uniondale, NY
November 14, 1994 - April 24, 1997
J. GREGORY & COMPANY, INC.·CRD# 14892
BD
February 2, 1994 - November 11, 1994

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Current Firm

TA
TELSEY ADVISORY GROUP LLC

TELSEY ADVISORY GROUP LLC | TELSEY CAPITAL GROUP LLC

CRD#: 148234 / SEC#: 8-67988
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

555 Fifth Ave. 7th Floor, New York, NY, 10017

Mailing Address

555 Fifth Ave. 7th Floor, New York, NY, 10017

Phone Number

(212) 973-9700

Established

Delaware since 05/28/2008

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (19 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
TELSEY HOLDINGS LLCOWNER—
ARZU, JERRY STANLEYCFO/FINOP3024670
CHIN, TOM KAIMANAGING DIRECTOR2420035
EKSTEIN, LEIGH EVANVICE CHAIRMAN5111262
FELDMAN, JOSEPH ISAACMANAGING DIRECTOR4260057
NAPOLITANO, AMY ANNCCO4024302
TELSEY, DANA LAURENCEO1289497

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1994About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jul 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 1994About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Jul 1995About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Jun 1995About the Series 24 exam

Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination

Passed Jan 1994About the Series 28 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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