Robert W. Pillitteri
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 William Pillitteri was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1974. Robert had worked at 3 firms and has passed the Series 63, Series 65, Series 3, Series 5, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 1993 - October 15, 1996
BROADCORT CAPITAL CORP.
September 26, 1978 - October 6, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 4/29/1974
Registered Representative ExaminationSeries 40
Date: 2/24/1977
Registered Principal ExaminationSeries 12
Date: 1/20/1977
NYSE Branch Manager ExaminationCurrent Firm
BROADCORT CAPITAL CORP.
CRD#: 13456 / SEC#: , 8-29204
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | SOLE SHAREHOLDER | 7691 |
| AKELLIAN, DAVID PAUL | PRESIDENT/DIRECTOR | 1065017 |
| CONIGLIARO, THOMAS VINCENT | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 1462689 |
| LYNCH, MICHAEL JOHN | DIRECTOR | 1100227 |
| MENNA, SUZANNE | CHIEF FINANCIAL OFFICER | 3131763 |
| THOMAS, ARTHUR L | DIRECTOR | 1241780 |
| WALKER, JAMES KEVIN | DIRECTOR OF COMPLIANCE | 2397598 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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