Kim D'angiolillo
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.
Kim D'angiolillo was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1999. Kim had worked at 7 firms and has passed the Series 63, Series 55, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2012 - September 19, 2012
FARINA & ASSOCIATES, INC.
May 4, 2009 - November 8, 2011
DOLEY SECURITIES, LLC.
October 19, 2006 - February 2, 2009
TP ICAP GLOBAL MARKETS AMERICAS LLC
June 5, 2006 - October 10, 2006
MOORS & CABOT, INC.
October 1, 2000 - June 1, 2006
BAY CREST PARTNERS, LLC
March 30, 2000 - June 1, 2006
LABRANCHE FINANCIAL SERVICES, LLC
January 1, 1999 - April 14, 1999
SANDS BROTHERS & CO., LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 6/7/2003
Limited Representative-Equity Trader ExamSeries 25
Date: 3/13/2000
NYSE Trading Assistant ExaminationCurrent Firm
FARINA & ASSOCIATES, INC.
CRD#: 32830 / SEC#: , 8-41953
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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