Adam J. Sarzen
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.
Adam Joseph Sarzen, who also goes by Adam Sarzen, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2000. Adam had worked at 6 firms and has passed the Series 25 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2010 - January 13, 2017
BLUE POINT SECURITIES INC.
June 8, 2009 - January 11, 2010
WALTER J. DOWD, INC.
May 8, 2008 - May 5, 2009
W.A. CAPITAL MARKETS
October 27, 2006 - January 30, 2008
MAVEN SECURITIES, INC.
June 16, 2006 - October 27, 2006
GROSS, ARTHUR J
November 11, 2003 - March 27, 2006
NANDRA GROUP, INC.
September 19, 2003 - October 27, 2003
W.A. CAPITAL MARKETS
October 1, 2000 - August 26, 2003
NANDRA GROUP, 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 25
Date: 1/20/2000
NYSE Trading Assistant ExaminationCurrent Firm
BLUE POINT SECURITIES INC.
CRD#: 130932 / SEC#: , 8-66408
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROSEO, EUGENE JOHN | CEO/PRES/DIR/CCO/CFO/COO | 1193307 |
Disclosures
| Regulatory Event | 1 |
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.
