Arnold J. Palatnek

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CRD#: 355404

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.

Arnold Joseph Palatnek, who also goes by Arnie Palatnek, was a registered financial professional .

Arnold is a previously registered financial professional and started their career in finance in 1973. Arnold had worked at 15 firms and has passed the Series 63 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Arnie Palatnek

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

January 31, 2012 - March 1, 2013

PENSERRA SECURITIES, LLC

CRD#: 145994

ORINDA, CA

Past

December 6, 2010 - January 27, 2012

VCG SECURITIES, LLC

CRD#: 149083

NEW YORK, NY

Past

October 14, 2005 - October 13, 2006

CANTOR FITZGERALD SECURITIES

CRD#: 19660

NEW YORK, NY

Past

May 11, 2005 - October 19, 2010

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

February 4, 2004 - May 10, 2005

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

July 21, 1997 - February 11, 2004

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

September 19, 1996 - July 14, 1997

NATIVE NATIONS SECURITIES, INC.

CRD#: 334

JERSEY CITY, NJ

Past

August 13, 1991 - July 2, 1996

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

Past

April 4, 1981 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Past

March 13, 1981 - July 10, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 8, 1978 - March 2, 1981

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

January 20, 1978 - February 23, 1978

LOEB PARTNERS

CRD#: 7534

Past

January 4, 1977 - January 20, 1978

LOEB RHOADES & CO. INC.

CRD#: 7502

Past

January 22, 1974 - January 4, 1977

LOEB, RHOADES & CO. INC.

CRD#: 525

Past

January 18, 1973 - December 10, 1973

STUART BROTHERS

CRD#: 3528

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

Series 63

Date: 5/3/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 1/15/1973

Registered Representative Examination

Current Firm

PENSERRA SECURITIES, LLC

PENSERRA SECURITIES | PENSERRA SECURITIES, LLC

CRD#: 145994 / SEC#: , 8-67773

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

4 Orinda Way Suite 100-a, Orinda, CA 94563

Mailing Address

4 Orinda Way Suite 100-a, Orinda, CA 94563

Phone number

(646) 459-0581

Established

New York since 02/27/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PENSERRA FINANCIAL VENTURES LLC	HOLDING COMPANY / MEMBER
CASTELLI, ANTHONY NMN	COO	4409925
GEIGER, LEE WILSON	FINOP	1552293
JOSEPH, ELOIS L'KEKSHA	CCO	5449352
MADRIGAL, JORGE NMN	PRESIDENT & CEO / MEMBER	3204950

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.

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Firm Stability Insights

Arnold J. Palatnek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VCG SECURITIES, LLC

CANTOR FITZGERALD SECURITIES

CANTOR FITZGERALD & CO.

MORGAN KEEGAN & COMPANY, LLC

RAYMOND JAMES & ASSOCIATES, INC.

NATIVE NATIONS SECURITIES, INC.

ABN AMRO SECURITIES LLC

LEHMAN BROTHERS KUHN LOEB INCORPORATED

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

LOEB PARTNERS

LOEB RHOADES & CO. INC.

LOEB, RHOADES & CO. INC.

STUART BROTHERS

State Registrations and Notice Filings

Exams

Series 63

Date: 5/3/2000

Series 1

Date: 1/15/1973

Current Firm

PENSERRA SECURITIES, LLC

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PENSERRA SECURITIES, LLC

TRUST BUT VERIFY

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