Geoff L. Carfagnini

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CRD#: 2771125

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.

Geoff Louis Carfagnini was a registered financial professional .

Geoff is a previously registered financial professional and started their career in finance in 1996. Geoff had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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

December 6, 2016 - October 6, 2018

ZANBATO SECURITIES LLC

CRD#: 279028

MOUNTAIN VIEW, CA

Past

September 25, 2014 - December 1, 2016

BENCHMARK INVESTMENT ADVISORS LLC

RIA

CRD#: 159705

CHICAGO, IL

Past

March 7, 2014 - December 31, 2016

HARBOR LIGHT SECURITIES, LLC

CRD#: 130227

CHICAGO, IL

Past

October 1, 2012 - March 7, 2014

GENTRY SECURITIES LLC

CRD#: 155142

CHICAGO, IL

Past

April 7, 2009 - September 25, 2012

ADVANCED EQUITIES, INC.

RIA

CRD#: 35545

CHICAGO, IL

Past

April 6, 2009 - September 25, 2012

ADVANCED EQUITIES, INC.

CRD#: 35545

CHICAGO, IL

Past

July 12, 2007 - April 8, 2009

CETERA ADVISORS LLC

RIA

CRD#: 10299

LISLE, IL

Past

June 20, 2007 - April 8, 2009

CETERA ADVISORS LLC

CRD#: 10299

LISLE, IL

Past

February 10, 2006 - June 20, 2007

NATIONAL SECURITIES CORPORATION

CRD#: 7569

CHICAGO, IL

Past

March 19, 2002 - May 29, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

October 4, 2000 - March 11, 2002

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

March 26, 1998 - July 30, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 30, 1996 - March 12, 1998

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, 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

IAR

Series 65

Date: 7/10/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/13/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/9/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/17/2011

General Securities Principal Examination

Current Firm

ZANBATO SECURITIES LLC

CRD#: 279028 / SEC#: , 8-69654

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

711 / 715 N. Shoreline Blvd., Mountain View, CA 94043

Mailing Address

711 / 715 N. Shoreline Blvd., Mountain View, CA 94043

Phone number

(650) 557-2333

Established

Delaware since 06/17/2015

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (41 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ZANBATO HOLDING COMPANY LLC	MEMBER
FITZGERALD, HEATHER	CFO	4427665
RAFFERTY, MARIANNE	CCO	1982973
SAND, KNUT NICOLAI	CEO	6115928
WRIGHT, GREGORY LANCE	PRESIDENT	1564124

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.

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Advisor Monitoring

Firm Stability Insights

Geoff L. Carfagnini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BENCHMARK INVESTMENT ADVISORS LLC

HARBOR LIGHT SECURITIES, LLC

GENTRY SECURITIES LLC

ADVANCED EQUITIES, INC.

ADVANCED EQUITIES, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

NATIONAL SECURITIES CORPORATION

RAYMOND JAMES FINANCIAL SERVICES, INC.

CITICORP INVESTMENT SERVICES

MORGAN STANLEY DW INC.

H.J. MEYERS & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/10/2007

Series 63

Date: 2/13/2006

SIE

Date: 10/1/2018

Series 7

Date: 2/9/2006

Series 24

Date: 6/17/2011

Current Firm

ZANBATO SECURITIES LLC

Contact information

FINRA licenses (41 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ZANBATO SECURITIES LLC

TRUST BUT VERIFY

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