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PA

Paul J. Asaro

EQUITEQ SECURITIES LLC
New York, NY 10016
Some features on this profile are disabled
CRD#: 4243619
PA

Professional summary

Paul Joseph Asaro is a registered financial professional currently at EQUITEQ SECURITIES LLC located in New York, New York.

Paul is registered as a RR (Registered Representative) and started their career in finance in 2013. Paul has worked at 4 firms and has passed the SIE, Series 99 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Paul Joseph Asaro's CRS (Customer Relationship Summary).

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

Current

December 5, 2019 - Present

EQUITEQ SECURITIES LLC

Office #1: 460 Park Avenue South Suite 1102, New York, NY 10016
BD
CRD#: 283799
New York, NY
Past

September 7, 2016 - December 9, 2019

TELSEY ADVISORY GROUP LLC

BD
CRD#: 148234
NEW YORK, NY
Past

August 3, 2015 - September 1, 2016

ETICO PARTNERS, LLC

BD
CRD#: 122481
NEW YORK, NY
Past

December 18, 2013 - July 17, 2015

STORMHARBOUR SECURITIES LP

BD
CRD#: 35997
NEW YORK, 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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 7/29/2014
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/18/2013
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ES
EQUITEQ SECURITIES LLC
EQUITEQ INC. | EQUITEQ SECURITIES LLC

CRD#: 283799 / SEC#: , 8-69767

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
460 Park Avenue South Suite 1102, New York, NY 10016
Mailing Address
460 Park Avenue South Suite 1102, New York, NY 10016
Phone number
(212) 256-1120
Established
Delaware since 08/11/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EQUITEQ INC.SOLE MEMBER
ASARO, PAUL JOSEPHFINOP4243619
FINCKE, GREGCEO6682361
IGNALL, EVAN TODDCCO2039007
JORGENSON, DAVID HAMMONDPRESIDENT4684856

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.

Company Information

EQUITEQ SECURITIES LLC

CRD#: 283799New York, NY 10016

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