Jerome F. Cangialosi
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.
Jerome Francis Cangialosi was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1971. Jerome had worked at 16 firms and has passed the Series 000, Series 1 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2008 - February 6, 2012
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
December 19, 2006 - January 9, 2008
POPULAR SECURITIES, LLC
August 13, 1998 - September 29, 2006
SAMUEL A. RAMIREZ & COMPANY, INC.
July 21, 1997 - July 17, 1998
BANC ONE CAPITAL MARKETS, INC.
December 2, 1996 - July 23, 1997
PNC CAPITAL MARKETS LLC
August 14, 1992 - November 11, 1996
FINANCIAL SQUARE PARTNERS
September 25, 1990 - June 6, 1991
CHASE SECURITIES, INC.
July 24, 1987 - October 2, 1990
MORGAN STANLEY & CO. LLC
November 28, 1979 - July 20, 1987
E. F. HUTTON & COMPANY INC
May 8, 1978 - July 21, 1978
LEHMAN BROTHERS INC.
November 22, 1977 - December 10, 1983
UBS FINANCIAL SERVICES INC.
January 26, 1977 - November 22, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 2, 1975 - June 30, 1975
THE GARVIN BANTEL CORP.
May 24, 1973 - November 1, 1973
TP ICAP GLOBAL MARKETS AMERICAS LLC
September 5, 1972 - June 9, 1973
TPO INCORPORATED INC.
July 26, 1971 - December 12, 1972
WHITE, WELD & CO. INCORPORATED
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 000
Date: 7/22/1971
General Securities Principal ExaminationSeries 1
Date: 7/22/1971
Registered Representative ExaminationCurrent Firm
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
CRD#: 6950 / SEC#: 801-68820, 8-18971
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUTHSTATE BANK, NATIONAL ASSOCIATION | OWNER | |
| BONONNO, JOSEPH KEMP | CHIEF FINANCIAL OFFICER | 7437632 |
| CHERRY, JAMES CROWELL | CHIEF COMPLIANCE OFFICER | 2870353 |
| HODGES, STUART LEE | SVP, PRESIDENT | 7370566 |
| HOWARD, HEATHER DIANE | CORPORATE SECRETARY/COMPLIANCE OFFICER | 4349745 |
| TUCKER, KIMBERLY SHAY | OPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER | 7370391 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
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.
