Keith E. Sorrentino
Professional summary
Keith Everett Sorrentino was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Keith is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Keith had worked at 6 firms, which includes SPEEDTRADER INC, REGAL SECURITIES INC., TRANSCEND CAPITAL, GROSSMAN & CO. LLC., A.B. WATLEY DIRECT INC., A.B. WATLEY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2015 - June 17, 2015
SPEEDTRADER, INC
October 28, 2013 - June 12, 2015
REGAL SECURITIES, INC.
June 15, 2011 - November 20, 2013
SPEEDTRADER, INC
December 3, 2009 - June 16, 2011
TRANSCEND CAPITAL
November 23, 2005 - December 31, 2009
GROSSMAN & CO., LLC.
February 3, 2004 - October 26, 2005
A.B. WATLEY DIRECT, INC.
June 23, 2003 - February 3, 2004
A.B. WATLEY, INC.
State Registrations and Notice Filings
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Exams
Current Firm
SPEEDTRADER, INC
CRD#: 107403 / SEC#: , 8-53035
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 21 |
| Arbitration | 1 |
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