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Paola Bergamaschi

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CRD#: 2800205
PB

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.

Paola Bergamaschi, who also goes by Paola Broyd, was a registered financial professional .

Paola is a previously registered financial professional and started their career in finance in 1996. Paola had worked at 4 firms and has passed the Series 17 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paola Broyd

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

October 13, 2003 - December 24, 2013

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA
Past

December 18, 2000 - May 27, 2003

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

January 14, 1999 - December 18, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

November 27, 1996 - December 8, 1998

INTESA SANPAOLO IMI SECURITIES CORP.

BD
CRD#: 19418
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

General Industry/Product Exam
RR
Series 17
Date: 11/16/1996
Limited Registered Representative Examination

Current Firm

SS
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
STATE STREET BROKERAGE SERVICES, INC. | STATE STREET GLOBAL MARKETS, LLC | STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | STATE STREET CAPITAL MARKETS, LLC

CRD#: 30107 / SEC#: , 8-44744

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

Main Address
One Congress Street, Boston, MA 02114
Mailing Address
One Congress Street, Boston, MA 02114
Phone number
(617) 664-3619
Established
Delaware since 03/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
STATE STREET GLOBAL ADVISORS, INC.PARENT CORPORATION
ALBERICI, MARK FDIRECTOR3223458
AMOA, APEAWUSU KDIRECTOR7711546
BONDS MAZZA, ALLISON HATHHORNPRESIDENT AND DIRECTOR4439495
CORBETT, TIMOTHY PAULDIRECTOR
FERRARELLI, JAMESDIRECTOR6961735
LAPORTA, JEANNE MARIEDIRECTOR & CHAIRWOMAN5946908
TENORIO, EDITHA VCHIEF FINANCIAL OFFICER6755490
TRABUCCO, MARK RUSSELLCHIEF COMPLIANCE OFFICER4856280
TUCKER, JOHN ADIRECTOR7000761

Disclosures

Regulatory Event17

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

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

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