Valeria S. Penn
Professional summary
Valeria Sofiskaia Penn, who also goes by Valeria VIacheslavorna Sofiskaia, is a registered financial professional currently at INTESA SANPAOLO IMI SECURITIES CORP. located in New York, New York.
Valeria is registered as a RR (Registered Representative) and started their career in finance in 2002. Valeria has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Valeria Sofiskaia Penn's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 1, 2016 - Present
INTESA SANPAOLO IMI SECURITIES CORP.
Office #1: 1 William Street, New York, NY 10004September 6, 2011 - May 25, 2016
CREDIT AGRICOLE SECURITIES (USA) INC.
March 11, 2010 - August 16, 2011
BBVA SECURITIES INC.
August 10, 2004 - March 22, 2007
NATWEST MARKETS SECURITIES INC.
December 20, 2002 - March 15, 2004
BARCLAYS CAPITAL 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
(11/1/2016)
Exams
FINRA
Nasdaq Stock Market
New York Stock Exchange
Current Firm
INTESA SANPAOLO IMI SECURITIES CORP.
CRD#: 19418 / SEC#: , 8-37444
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IMI CAPITAL MARKETS USA CORPORATION | SOLE SHAREHOLDER | |
| AMOROSO, PAOLO GLAUCO | CORPORATE SECRETARY | 7870609 |
| BURIOLI, NOVELLA | DIRECTOR | 7874990 |
| DIBELLA, VINCENT | CHIEF FINANCIAL OFFICER/ TREASURER | 2587408 |
| LUCCHINI, STEFANO | DIRECTOR | 7889772 |
| MARRAS, STEFANO | CEO/DIRECTOR | 7322813 |
| PARISI, RICHARD ANTHONY | CHIEF OPERATIONS OFFICER | 4668388 |
| RUIZ, JEFFREY A | CHIEF COMPLIANCE OFFICER | 2562825 |
| SEGNI, LAURA | DIRECTOR | 7890924 |
Disclosures
| Regulatory Event | 11 |
| Criminal | 1 |
| Civil Event | 1 |
Red Flags
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