Robert F. Serpente
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.
Robert Francis Serpente, who also goes by Robert Francis Serpente Jr., was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2001. Robert had worked at 5 firms and has passed the Series 66, SIE 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
October 22, 2018 - January 5, 2022
TULLETT PREBON FINANCIAL SERVICES LLC
September 8, 2017 - March 15, 2018
WALL STREET ACCESS
June 1, 2012 - September 14, 2017
TULLETT PREBON FINANCIAL SERVICES LLC
June 30, 2011 - June 1, 2012
CHAPDELAINE TULLETT PREBON, LLC
March 4, 2002 - August 25, 2006
CHAPDELAINE TULLETT PREBON, LLC
September 10, 2001 - February 21, 2002
PRUDENTIAL EQUITY GROUP, LLC
March 21, 2001 - September 4, 2001
SANDS BROTHERS & CO., LTD.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TULLETT PREBON FINANCIAL SERVICES LLC
CRD#: 28196 / SEC#: , 8-43487
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 17 |
Red Flags
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