Carmine A. Sarnelli
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.
Carmine Anthony Sarnelli, who also goes by Tony Sarnelli, was a registered financial professional .
Carmine is a previously registered financial professional and started their career in finance in 1998. Carmine had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2017 - May 20, 2019
WORDEN CAPITAL MANAGEMENT LLC
April 29, 2016 - March 16, 2017
JOSEPH STONE CAPITAL L.L.C.
October 19, 2015 - May 19, 2016
FIRST STANDARD FINANCIAL COMPANY LLC
September 17, 2009 - October 16, 2015
ROCKWELL GLOBAL CAPITAL LLC
December 16, 2008 - October 5, 2009
EKN FINANCIAL SERVICES INC.
March 28, 2008 - December 24, 2008
ROCKWELL GLOBAL CAPITAL LLC
July 25, 2006 - March 31, 2008
WESTROCK ADVISORS, INC.
May 11, 2005 - July 18, 2006
BROOKSTREET SECURITIES CORPORATION
March 30, 2005 - May 13, 2005
J.P. TURNER & COMPANY, L.L.C.
October 21, 2002 - March 23, 2005
AURA FINANCIAL SERVICES, INC.
October 17, 2002 - October 31, 2002
WOODSTOCK FINANCIAL GROUP, INC.
March 27, 2001 - October 31, 2002
SALOMON GREY FINANCIAL CORPORATION
June 5, 2000 - April 3, 2001
HAPOALIM SECURITIES USA, INC.
April 23, 1998 - June 6, 2000
CAMBRIDGE CAPITAL, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WORDEN CAPITAL MANAGEMENT LLC
CRD#: 148366 / SEC#: , 8-68010
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 12 |
Red Flags
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