Albert B. Vespoli
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.
Albert Benjamin Vespoli was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1994. Albert had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 27, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2011 - July 22, 2016
TELSEY ADVISORY GROUP LLC
December 3, 2010 - June 3, 2011
TD ARRANGED SERVICES LLC
May 4, 2007 - December 9, 2010
LABRANCHE FINANCIAL SERVICES, LLC
May 1, 2006 - May 17, 2007
J. B. HANAUER & CO.
January 3, 2005 - May 8, 2006
INSTINET, LLC
June 2, 2004 - May 8, 2006
INSTINET, LLC
June 2, 2004 - May 8, 2006
NOMURA SECURITIES NORTH AMERICA, LLC
April 6, 2001 - December 9, 2003
LADENBURG THALMANN & CO. INC.
November 29, 2000 - April 10, 2001
FIRST HUDSON FINANCIAL GROUP, INC.
November 27, 2000 - April 6, 2001
NATIONAL SECURITIES CORPORATION
May 30, 2000 - November 10, 2000
SHARPE CAPITAL, INC.
March 29, 1999 - March 15, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
November 14, 1994 - April 24, 1997
STERLING FOSTER & COMPANY, INC.
February 2, 1994 - November 11, 1994
J. GREGORY & COMPANY, 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
Series 28
Date: 1/25/1994
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
TELSEY ADVISORY GROUP LLC
CRD#: 148234 / SEC#: , 8-67988
Contact information
FINRA licenses (19 States and Territories)
Documents
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.
