Salvatore L. Spaltro
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.
Salvatore Louis Spaltro was a registered financial professional .
Salvatore is a previously registered financial professional and started their career in finance in 1999. Salvatore had worked at 11 firms and has passed the Series 7A and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2009 - January 5, 2016
TD PRIME SERVICES LLC
July 27, 2007 - January 7, 2009
BATTENKILL CAPITAL, INC.
June 15, 2007 - June 2, 2008
BROWN BROTHERS HARRIMAN & CO.
November 27, 2006 - August 2, 2007
INTEGRA SECURITIES CORP.
July 1, 2005 - November 30, 2006
FIMAT PREFERRED LLC
April 15, 2004 - July 1, 2005
PREFERREDTRADE, INC.
March 20, 2003 - April 15, 2004
DIRECT BROKERAGE, INC.
February 25, 2003 - July 21, 2003
NORTHPORT SECURITIES INC.
April 22, 2002 - February 24, 2003
GALWAY SECURITIES CORPORATION
March 11, 2002 - April 26, 2002
STANLEY, CHARLES PERCEY
May 27, 1999 - March 11, 2002
HERZOG, HEINE, GEDULD, 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 7A
Date: 11/27/2002
Floor Broker Representative ExamSeries 25
Date: 3/13/2000
NYSE Trading Assistant ExaminationCurrent Firm
TD PRIME SERVICES LLC
CRD#: 1914 / SEC#: , 8-3337
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BALDASSANO, MATTHEW ANTHONY | MANAGING DIRECTOR, HEAD OF PRIME SERVICES | 1645834 |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| PRINCIPATO, ANTHONY JOSEPH | PRINCIPAL OPERATIONS OFFICER / HEAD OF OPERATIONS |
Disclosures
| Regulatory Event | 11 |
Red Flags
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