Pablo J. Perfumo
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.
Pablo Javier Perfumo was a registered financial professional .
Pablo is a previously registered financial professional and started their career in finance in 1994. Pablo had worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2017 - October 23, 2020
GLOBAL ALLIANCE SECURITIES LLC
June 27, 2002 - November 30, 2015
CREDIT SUISSE SECURITIES (USA) LLC
February 8, 1996 - November 30, 2015
CREDIT SUISSE SECURITIES (USA) LLC
October 10, 1994 - March 12, 1996
DB ALEX. BROWN 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 7TO
Date: 7/8/2022
General Securities Representative ExaminationCurrent Firm
GLOBAL ALLIANCE SECURITIES LLC
CRD#: 167164 / SEC#: , 8-69244
Contact information
FINRA licenses (34 States and Territories)
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.
