Justin C. Ferri
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.
Justin Christopher Ferri was a registered financial professional .
Justin is a previously registered financial professional and started their career in finance in 2005. Justin had worked at 2 firms and has passed the Series 66, Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2014 - November 17, 2014
PRINCIPIUM INVESTMENTS LLC
January 5, 2008 - July 31, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 8, 2005 - July 31, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
PRINCIPIUM INVESTMENTS LLC
CRD#: 124989 / SEC#: 801-61768
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
Current Firm
PRINCIPIUM INVESTMENTS LLC
CRD#: 124989 / SEC#: 801-61768
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 493 |
| AUM (Assets Under Management) | $ 198,343,689 |
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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