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PV

Paul A. Viviano

Some features on this profile are disabled
CRD#: 2652836
PV

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.

Paul Alfred Viviano, who also goes by Paul A VIviano, Paul A. Viviano, Paul Alfred Viviano, was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1995. Paul had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul A Viviano | Paul A. Viviano | Paul Alfred Viviano

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 12, 2017 - March 11, 2019

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
NEW YORK, NY
Past

November 21, 2016 - August 28, 2017

MKM PARTNERS LLC

BD
CRD#: 114666
STAMFORD, CT
Past

April 28, 2011 - June 19, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 22, 2010 - April 28, 2011

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

April 17, 2006 - April 30, 2010

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

May 6, 2004 - April 13, 2006

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

April 10, 2001 - May 14, 2004

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

May 23, 2000 - April 9, 2001

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

November 8, 1995 - May 24, 2000

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/25/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/20/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/7/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/20/2010
General Securities Principal Examination

Current Firm

SF
SUSQUEHANNA FINANCIAL GROUP, LLLP
FOREST LANE SECURITIES, INC. | SUSQUEHANNA FINANCIAL GROUP, LLLP | SUSQUEHANNA FINANCIAL GROUP, L.P. | SUSQUEHANNA FINANCIAL GROUP, INC.

CRD#: 35865 / SEC#: , 8-44325

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
401 City Ave Suite 220, Bala Cynwyd, PA 19004-1122
Mailing Address
401 City Ave Suite 220, Bala Cynwyd, PA 19004-1122
Phone number
(800) 825-9550
Established
Delaware since 07/25/2002
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SFG HOLDING, LLCLIMITED PARTNER
DAMATO, DANIEL DAVID IIFINOP7430998
DANIELS, ETHAN SCOTTPOO5902179
KRASNICK, ALAN JONATHANMUNICIPAL SECURITIES PRINCIPAL4606571
MCENTEE, ROBERT FRANCIS JR.CHIEF COMPLIANCE OFFICER4722705
SFG PARTNER LLCGENERAL PARTNER
WOOD, NICHOLAS HPRESIDENT2626078

Disclosures

Regulatory Event12

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.

Company Information

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865

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