Sergio M. Deltoro
Professional summary
Sergio M Deltoro was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sergio is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Sergio had worked at 5 firms, which includes BASIC INVESTORS INC., PARKER FINANCIAL CORP., DELTA ASSET MANAGEMENT COMPANY LLC, HORNBLOWER & WEEKS INC., PRIME CHARTER LTD..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2005 - October 10, 2007
BASIC INVESTORS INC.
June 2, 2004 - May 10, 2005
PARKER FINANCIAL CORP.
July 12, 2002 - May 19, 2004
DELTA ASSET MANAGEMENT COMPANY, LLC
November 14, 2000 - July 2, 2002
HORNBLOWER & WEEKS, INC.
September 1, 2000 - September 18, 2000
PRIME CHARTER LTD.
State Registrations and Notice Filings
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Exams
Current Firm
BASIC INVESTORS INC.
CRD#: 1187 / SEC#: , 8-5468
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BELZ, RICHARD JOHN | VICE PRESIDENT FINANCIAL OPERATIONS PRINCIPAL,ROP | 1140219 |
Disclosures
| Regulatory Event | 7 |
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