Alvaro F. Dumancella
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.
Alvaro Fabian Dumancella, who also goes by Alvaro F Dumancela, Al Dumancella, was a registered financial professional .
Alvaro is a previously registered financial professional and started their career in finance in 1994. Alvaro had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2001 - February 8, 2002
FIRST MONTAUK SECURITIES CORP.
May 11, 2000 - May 16, 2001
J.P. TURNER & COMPANY, L.L.C.
October 15, 1999 - May 22, 2000
INSTITUTIONAL EQUITY CORPORATION
November 17, 1998 - July 29, 1999
CONTINENTAL BROKER-DEALER CORP.
July 8, 1998 - December 16, 1998
THE THERMOPYLAE GROUP, INC.
May 8, 1997 - April 21, 1998
INSTITUTIONAL EQUITY CORPORATION
September 6, 1994 - April 28, 1997
CONTINENTAL BROKER-DEALER CORP.
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
FIRST MONTAUK SECURITIES CORP.
CRD#: 13755 / SEC#: , 8-29748
Contact information
Documents
Disclosures
| Regulatory Event | 25 |
| Arbitration | 28 |
| Bond | 5 |
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.
