Jose L. Contti
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.
Jose Louis Contti, who also goes by Jose L Contti, Louis Contti, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2000. Jose had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2008 - October 29, 2008
ROCKWELL GLOBAL CAPITAL LLC
April 10, 2006 - August 19, 2008
BROOKVILLE CAPITAL PARTNERS
July 12, 2004 - March 8, 2006
BENSON YORK GROUP, INC.
October 1, 2003 - June 8, 2004
GREAT EASTERN SECURITIES, INC.
January 31, 2003 - September 26, 2003
S.W. BACH & COMPANY
March 29, 2002 - October 21, 2002
THOMAS FLETCHER & COMPANY, INC.
October 5, 2000 - October 6, 2000
MASON HILL & CO., INC.
October 5, 2000 - April 10, 2002
THE THORNWATER COMPANY, L.P.
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
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
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.
