Hal J. Pasetsky
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.
Hal J Pasetsky was a registered financial professional .
Hal is a previously registered financial professional and started their career in finance in 1997. Hal had worked at 3 firms and has passed the Series 63, Series 55 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
September 30, 2005 - July 15, 2010
WARREN D. NADEL & COMPANY
July 13, 1999 - May 13, 2002
HFP CAPITAL MARKETS LLC
January 8, 1997 - July 13, 1999
BERNARD L. MADOFF INVESTMENT SECURITIES LLC
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 55
Date: 3/15/1999
Limited Representative-Equity Trader ExamCurrent Firm
WARREN D. NADEL & COMPANY
CRD#: 20997 / SEC#: , 8-38583
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NADEL, WARREN DOUGLAS | PRESIDENT, CHIEF COMPLIANCE OFFICER | 811565 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
