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Adam Sclafani

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CRD#: 2735036
AS

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.

Adam Sclafani was a registered financial professional .

Adam is a previously registered financial professional and started their career in finance in 1997. Adam had worked at 12 firms and has passed the Series 63, SIE and Series 62 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

March 16, 2015 - July 15, 2015

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
MELVILLE, NY
Past

May 13, 2010 - June 18, 2013

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

April 27, 2010 - May 10, 2010

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
FARMINGVILLE, NY
Past

March 24, 2005 - May 4, 2010

ITRADEDIRECT.COM CORP

BD
CRD#: 18281
FARMINGVILLE, NY
Past

February 14, 2003 - April 8, 2005

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY
Past

August 19, 2002 - February 25, 2003

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

April 20, 2001 - September 18, 2002

MILESTONE FINANCIAL SERVICES, INC.

BD
CRD#: 43295
BOHEMIA, NY
Past

March 1, 2001 - May 10, 2001

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ
Past

January 2, 2001 - March 1, 2001

HARRISON SECURITIES, INC.

BD
CRD#: 14103
PORT WASHINGTON, NY
Past

May 19, 2000 - December 31, 2000

WHITEHALL WELLINGTON INVESTMENTS, INC.

BD
CRD#: 38022
PORT WASHINGTON, NY
Past

August 19, 1999 - June 2, 2000

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ
Past

April 1, 1999 - July 12, 1999

FIRST LIBERTY INVESTMENT GROUP, INC.

BD
CRD#: 3536
PHILADELPHIA, PA
Past

September 30, 1997 - February 25, 1999

D.L. CROMWELL INVESTMENTS, INC.

BD
CRD#: 37730
BOCA RATON, FL

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: 2/7/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/15/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 9/29/1997
Corporate Securities Limited Representative Examination

Current Firm

RG
ROCKWELL GLOBAL CAPITAL LLC
ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485 / SEC#: , 8-67467

BD
Terminated by SEC on 02/14/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/21/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GUARINO, BRUCE JUDEOPERATING OFFICER1096719
GUARINO, DOUGLAS JOSEPHCCO1771389

Disclosures

Regulatory Event1
Arbitration7

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

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485

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