Ross S. Inserra
Professional summary
Ross Salvatore Inserra was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ross is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Ross had worked at 6 firms, which includes JOSEPH STEVENS & CO. INC., LCP CAPITAL CORP., SHAMROCK PARTNERS LTD, J.P. TURNER & COMPANY L.L.C., ARGENT SECURITIES INC., J.W. BARCLAY & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2000 - April 22, 2005
JOSEPH STEVENS & CO., INC.
November 30, 1998 - November 13, 2000
LCP CAPITAL CORP.
May 20, 1998 - January 20, 1999
SHAMROCK PARTNERS, LTD
August 12, 1997 - May 18, 1998
J.P. TURNER & COMPANY, L.L.C.
April 21, 1997 - August 12, 1997
ARGENT SECURITIES, INC.
November 22, 1995 - April 21, 1997
J.W. BARCLAY & CO., 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 62
Date: 11/20/1995
Corporate Securities Limited Representative ExaminationCurrent Firm
JOSEPH STEVENS & CO., INC.
CRD#: 35459 / SEC#: , 8-46901
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 10 |
Red Flags
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