Robert Maffettone
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.
Robert Maffettone was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2001. Robert had worked at 6 firms and has passed the Series 25 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2004 - March 16, 2004
FAGENSON & CO., INC.
August 16, 2002 - January 5, 2004
GJL SECURITIES, INC.
July 23, 2002 - August 15, 2002
VUE-BELLER GROUP, INC.
May 31, 2002 - June 10, 2002
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
April 9, 2002 - June 6, 2002
PIPER SANDLER & CO.
August 21, 2001 - March 19, 2002
WACHOVIA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 25
Date: 9/21/1999
NYSE Trading Assistant ExaminationCurrent Firm
FAGENSON & CO., INC.
CRD#: 1781 / SEC#: , 8-9952
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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