Bonaventure O. Etta

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CRD#: 4066664

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.

Bonaventure Otu Etta was a registered financial professional .

Bonaventure is a previously registered financial professional and started their career in finance in 2000. Bonaventure had worked at 11 firms and has passed the Series 63, Series 7, Series 62 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

May 23, 2013 - July 22, 2014

LEGEND SECURITIES, INC.

CRD#: 44952

HUNTINGTON, NY

Past

January 18, 2012 - June 20, 2013

OLSON, CROSS & ALAMO LLC

CRD#: 157249

NEW YORK, NY

Past

March 4, 2011 - January 18, 2012

BROOKVILLE CAPITAL PARTNERS

CRD#: 102380

NEW YORK, NY

Past

June 18, 2010 - March 2, 2011

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

PATERSON, NJ

Past

January 27, 2009 - June 21, 2010

BROOKVILLE CAPITAL PARTNERS

CRD#: 102380

NEW YORK, NY

Past

October 27, 2008 - December 4, 2008

BROOKVILLE CAPITAL PARTNERS

CRD#: 102380

MELVILLE, NY

Past

December 6, 2007 - September 18, 2008

PARKER FINANCIAL CORP.

CRD#: 42140

MELVILLE, NY

Past

January 20, 2006 - September 26, 2007

BASIC INVESTORS INC.

CRD#: 1187

MELVILLE, NY

Past

June 24, 2005 - December 31, 2005

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

August 10, 2004 - June 17, 2005

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

March 19, 2002 - August 10, 2004

DELTA ASSET MANAGEMENT COMPANY, LLC

CRD#: 39923

MINEOLA, NY

Past

December 5, 2000 - January 14, 2002

PHD CAPITAL

CRD#: 38785

NEW YORK, NY

Past

May 24, 2000 - November 2, 2000

DALTON KENT SECURITIES GROUP, INC.

CRD#: 38813

NEW YORK, NY

Past

April 25, 2000 - June 15, 2000

FIRST PROVIDENCE FINANCIAL GROUP, LLC

CRD#: 39469

PORT WASHINGTON, NY

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: 5/16/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/12/2000

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 4/24/2000

Corporate Securities Limited Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/17/2003

General Securities Principal Examination

Current Firm

LEGEND SECURITIES, INC.

LEGEND SECURITIES, INC. | SPC SECURITIES, INC. | MARLIN TRADING, INC.

CRD#: 44952 / SEC#: , 8-50886

Postponed Effective by SEC on 01/19/2017

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 01/29/1998

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
STOCKTRADE NETWORK, INC.	SHARE OWNER

Disclosures

Regulatory Event	22
Arbitration	14

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

Bonaventure O. Etta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OLSON, CROSS & ALAMO LLC

BROOKVILLE CAPITAL PARTNERS

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BROOKVILLE CAPITAL PARTNERS

BROOKVILLE CAPITAL PARTNERS

PARKER FINANCIAL CORP.

BASIC INVESTORS INC.

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

DELTA ASSET MANAGEMENT COMPANY, LLC

PHD CAPITAL

DALTON KENT SECURITIES GROUP, INC.

FIRST PROVIDENCE FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/16/2000

Series 7

Date: 7/12/2000

Series 62

Date: 4/24/2000

Series 24

Date: 5/17/2003

Current Firm

LEGEND SECURITIES, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LEGEND SECURITIES, INC.

TRUST BUT VERIFY

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