RS
Rudy E. Scarpa
PANTHEON SECURITIES
New York, NY 10036
Some features on this profile are disabled
CRD#: 2818369
RS
Professional summary
Rudy Emilio Scarpa, who also goes by Rudy E Scarpa, is a registered financial professional currently at PANTHEON SECURITIES, LLC located in New York, New York.
Rudy is registered as a RR (Registered Representative) and started their career in finance in 1997. Rudy has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rudy E Scarpa
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.
CRS (Client Relationship Summary) - BD
Click below to view Rudy Emilio Scarpa's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 8, 2017 - Present
PANTHEON SECURITIES, LLC
Office #1: 11 Times Square 35th Floor, New York, NY 10036BD
CRD#: 285480
New York, NY
Past
January 21, 1997 - April 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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Alabama(4/17/2017)
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Alaska(4/17/2017)
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Arizona(4/17/2017)
RR
Arkansas(4/17/2017)
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California(2/9/2017)
RR
Colorado(4/17/2017)
RR
Connecticut(4/17/2017)
RR
Delaware(4/17/2017)
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District of Columbia(4/17/2017)
RR
Florida(4/17/2017)
RR
Georgia(4/17/2017)
RR
Hawaii(4/17/2017)
RR
Idaho(4/17/2017)
RR
Illinois(4/17/2017)
RR
Indiana(4/17/2017)
RR
Iowa(4/17/2017)
RR
Kansas(4/17/2017)
RR
Kentucky(4/17/2017)
RR
Louisiana(4/17/2017)
RR
Maine(4/17/2017)
RR
Maryland(4/17/2017)
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Massachusetts(4/17/2017)
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Michigan(4/17/2017)
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Minnesota(4/17/2017)
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Mississippi(4/17/2017)
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Missouri(4/17/2017)
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Montana(4/17/2017)
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Nebraska(4/17/2017)
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Nevada(4/17/2017)
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New Hampshire(4/17/2017)
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New Jersey(4/17/2017)
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New Mexico(4/17/2017)
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New York(2/9/2017)
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North Carolina(4/17/2017)
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North Dakota(4/17/2017)
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Ohio(4/17/2017)
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Oklahoma(4/17/2017)
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Oregon(4/17/2017)
RR
Pennsylvania(4/17/2017)
RR
Puerto Rico(4/17/2017)
RR
Rhode Island(4/17/2017)
RR
South Carolina(4/17/2017)
RR
South Dakota(4/17/2017)
RR
Tennessee(4/17/2017)
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Texas(4/17/2017)
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Utah(4/17/2017)
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Vermont(4/17/2017)
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Virgin Islands(4/17/2017)
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Virginia(4/17/2017)
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Washington(4/17/2017)
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West Virginia(4/17/2017)
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Wisconsin(4/17/2017)
RR
Wyoming(4/17/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PS
PANTHEON SECURITIES, LLC
PANTHEON SECURITIES, LLC
CRD#: 285480 / SEC#: , 8-69844
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
11 Times Square 35th Floor, New York, NY 10036
Mailing Address
11 Times Square, New York, NY 10036
Phone number
(212) 205-2000
Established
Delaware since 08/24/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
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.
