James A. Sammartano
Professional summary
James Anthony Sammartano was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, James had worked at 3 firms, which includes UBS CAPITAL MARKETS L.P., LCP CAPITAL CORP., A.S. GOLDMEN & 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 16, 1998 - July 29, 1999
UBS CAPITAL MARKETS L.P.
June 19, 1998 - November 3, 1998
LCP CAPITAL CORP.
April 21, 1997 - May 4, 1998
A.S. GOLDMEN & CO., INC.
March 18, 1996 - April 23, 1997
LCP CAPITAL CORP.
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: 9/23/1998
Limited Representative-Equity Trader ExamCurrent Firm
UBS CAPITAL MARKETS L.P.
CRD#: 2692 / SEC#: , 8-13535
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS, INC | GENERAL PARTNER | |
| UBS AMERICAS, INC. | LIMITED PARTNER | |
| CS CAPITAL MARKETS & CO. | GENERAL PARTNER OF SCHWAB CAPITAL MARKETS L.P. | |
| LEIBOWITZ, LAWRENCE EDWARD | CO-EXECUTIVE VICE PRESIDENT | 2024745 |
| MCISAAC, DANIEL THOMAS | EXECUTIVE DIRECTOR, CFO, HEAD OF REGULATORY REPORTING | 1543499 |
| MECANE, JOSEPH MICHAEL | VICE PRESIDENT & COO | 3114744 |
| SIMMES, STEPHEN ANDREW | COMPLIANCE DIRECTOR | 4319792 |
| SOUNDVIEW TECHNOLOGY GROUP, INC. | LIMITED PARTNER OF UBS CAPITAL MARKETS, L.P. |
Disclosures
| Regulatory Event | 27 |
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