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XN

Xavier A. Negroni

Some features on this profile are disabled
CRD#: 2923455
XN

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.

Xavier Andres Negroni was a registered financial professional .

Xavier is a previously registered financial professional and started their career in finance in 1997. Xavier had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.

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

October 19, 2012 - March 7, 2013

PIERPONT CAPITAL ADVISORS LLC

BD
CRD#: 108424
NEW YORK, NY
Past

December 22, 2009 - November 28, 2025

SANTANDER US CAPITAL MARKETS LLC

BD
CRD#: 150696
NEW YORK, NY
Past

September 11, 2006 - July 30, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

January 26, 2001 - September 8, 2006

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

August 19, 1997 - May 1, 2001

JPMSI

BD
CRD#: 15733
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

State Security Law Exam
RR
Series 63
Date: 10/9/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/19/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/18/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/27/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/25/2003
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/9/2003
General Securities Sales Supervisor - Options Module Examination

Current Firm

PC
PIERPONT CAPITAL ADVISORS LLC
CORTVIEW CAPITAL SECURITIES LLC | REDI MARKETS LLC | REDI INVESTMENTS, LLC | PIERPONT CAPITAL ADVISORS LLC

CRD#: 108424 / SEC#: , 8-53078

BD
Terminated by SEC on 11/29/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 06/15/2000
Firm type
Limited Liability Company
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PIERPONT CAPITAL ADVISORS INC100% 0WNER
BLAUVELT, JOSEPH PATRICKMEMBER BOARD OF MANAGERS; FINOP1799557
CONNOR, THOMAS CHARLESMEMBER BOARD OF MANAGERS1047477
FENSKE, BRUCE EDWARDC0-CHIEF COMPLIANCE OFFICER1469564
HEBERT, VALERIE ODETTECO-CHIEF COMPLIANCE OFFICER4007252
MILLET, TIMOTHY KELLEYCEO2025087
WERNER, MARK BLACKCHAIRMAN MEMBER BOARD OF MANAGERS730268

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

PIERPONT CAPITAL ADVISORS LLC

CRD#: 108424

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