Carmelo P. Rubano
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.
Carmelo Patrick Rubano was a registered financial professional .
Carmelo is a previously registered financial professional and started their career in finance in 2000. Carmelo had worked at 5 firms and has passed the Series 63, Series 55 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
November 3, 2006 - April 28, 2014
SUSQUEHANNA FINANCIAL GROUP, LLLP
June 2, 2003 - July 27, 2005
SUSQUEHANNA FINANCIAL GROUP, LLLP
June 2, 2003 - September 2, 2009
SAL EQUITY TRADING, GP
March 24, 2003 - August 20, 2003
ARCHIPELAGO SECURITIES L.L.C.
November 9, 2000 - December 31, 2002
UBS CAPITAL MARKETS L.P.
October 9, 2000 - February 6, 2001
CHARLES SCHWAB & CO., 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
Exams
Series 55
Date: 10/16/2000
Limited Representative-Equity Trader ExamCurrent Firm
SUSQUEHANNA FINANCIAL GROUP, LLLP
CRD#: 35865 / SEC#: , 8-44325
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
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.
