Robert A. Balsamo
Professional summary
Robert Anthony Balsamo was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Robert had worked at 7 firms, which includes DELTA ASSET MANAGEMENT COMPANY LLC, WOLFF INVESTMENT GROUP INCORPORATED, MORGAN GRANT CAPITAL CORP., FIRST NATIONAL EQUITY CORP., NATIONAL CLEARING CORP., STERLING FOSTER & COMPANY INC., FAIRCHILD FINANCIAL GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2000 - July 19, 2000
DELTA ASSET MANAGEMENT COMPANY, LLC
January 12, 2000 - April 10, 2000
WOLFF INVESTMENT GROUP INCORPORATED
November 5, 1998 - December 20, 1999
MORGAN GRANT CAPITAL CORP.
June 13, 1996 - October 7, 1997
FIRST NATIONAL EQUITY, CORP.
March 21, 1996 - November 13, 1996
NATIONAL CLEARING CORP.
August 11, 1995 - February 23, 1996
STERLING FOSTER & COMPANY, INC.
May 9, 1995 - July 20, 1995
FAIRCHILD FINANCIAL GROUP, INC.
November 28, 1994 - May 11, 1995
STERLING FOSTER & COMPANY, INC.
State Registrations and Notice Filings
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Exams
Current Firm
DELTA ASSET MANAGEMENT COMPANY, LLC
CRD#: 39923 / SEC#: , 8-48888
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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