Robert S. Stellato
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 Sebastian Stellato was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 9 firms and has passed the Series 63, SIE, Series 55, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2014 - October 27, 2015
NORTHEAST SECURITIES, LLC
June 9, 2010 - June 26, 2012
PRITCHARD CAPITAL PARTNERS, LLC
April 29, 2003 - July 1, 2008
SOLEIL SECURITIES CORPORATION
August 10, 2000 - September 24, 2001
KNIGHT CAPITAL AMERICAS, L.P.
November 25, 1974 - August 18, 2000
GOLDMAN SACHS & CO. LLC
June 11, 1973 - November 29, 1974
SHIELDS MODEL ROLAND INCORPORATED
October 23, 1972 - August 30, 1973
JSC SECURITIES, INC.
February 3, 1971 - February 1, 1973
BRUKENFELD, MITCHELL & CO.
March 17, 1970 - January 4, 1971
KIDDER, PEABODY & CO., INCORPORATED
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: 8/20/2003
Limited Representative-Equity Trader ExamPC
Date: 7/27/1977
AMEX Put and Call ExamSeries 1
Date: 3/1/1968
Registered Representative ExaminationCurrent Firm
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
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.
