Englebert Sarmiento

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CRD#: 4506010

Professional summary

Englebert Sarmiento was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Englebert Sarmiento, who also goes by Bert Sarmiento, was a registered financial professional .

Englebert is a previously registered financial professional and started their career in finance in 2002. Englebert had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bert Sarmiento

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 17, 2015 - August 16, 2016

NETWORK 1 FINANCIAL SECURITIES INC.

CRD#: 13577

Lynbrook, NY

Past

May 16, 2014 - October 15, 2015

ALLIED MILLENNIAL PARTNERS, LLC

CRD#: 16569

NEW YORK, NY

Past

November 3, 2011 - May 29, 2014

GLOBAL ARENA CAPITAL CORP

CRD#: 16871

MELVILLE, NY

Past

September 26, 2011 - November 3, 2011

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485

MELVILLE, NY

Past

May 17, 2011 - October 17, 2011

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

MELVILLE, NY

Past

June 18, 2010 - May 25, 2011

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

MELVILLE, NY

Past

February 8, 2010 - June 24, 2010

QA3 FINANCIAL CORP.

CRD#: 14754

FARMINGDALE, NY

Past

September 12, 2008 - February 12, 2010

J.D. NICHOLAS & ASSOCIATES, INC.

CRD#: 44791

FARMINGDALE, NY

Past

July 5, 2007 - October 9, 2008

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

BLOOMINGTON, IL

Past

October 13, 2005 - July 25, 2007

HALLMARK INVESTMENTS, INC.

CRD#: 135003

NEW YORK, NY

Past

August 16, 2002 - November 9, 2005

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

May 23, 2002 - September 3, 2002

NATIONAL SECURITIES CORPORATION

CRD#: 7569

BOCA RATON, FL

Past

February 25, 2002 - June 20, 2002

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, 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

State Security Law Exam

Series 63

Date: 3/4/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/16/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/22/2002

General Securities Representative Examination

Current Firm

NETWORK 1 FINANCIAL SECURITIES INC.

ASSET PLANNING & DEVELOPMENT, INC. | STOCKAMERICA, INCORPORATED | NETWORK 1 FINANCIAL SECURITIES INC. | NETWORK 1 FINANCIAL SECURITIES

CRD#: 13577 / SEC#: , 8-29471

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

The Galleria, Suite 241 2 Bridge Avenue, Red Bank, NJ 07701

Mailing Address

The Galleria, Suite 241 2 Bridge Avenue, Red Bank, NJ 07701

Phone number

(732) 758-9001

Established

Texas since 03/15/1983

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
NETWORK 1 FINANCIAL GROUP, INC.( ISSI)	SHAREHOLDER
ARTICLE THIRD TR UWO RICHARD W. HUNT FBO MADISON HUNT	SHAREHOLDER
BRUNO, VINCENT MICHAEL	CHIEF COMPLIANCE OFFICER	1845833
HUNT, WILLIAM RICHARD JR	DIRECTOR, PRESIDENT, COO & FINOP, TRUSTEE	830575
TESTAVERDE, DAMON DOMENIC	VICE PRESIDENT	444453

Disclosures

Regulatory Event	21
Arbitration	4

Red Flags

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Firm Stability Insights

Englebert Sarmiento

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLIED MILLENNIAL PARTNERS, LLC

GLOBAL ARENA CAPITAL CORP

ROCKWELL GLOBAL CAPITAL LLC

INTERNATIONAL ASSETS ADVISORY, LLC

J.P. TURNER & COMPANY, L.L.C.

QA3 FINANCIAL CORP.

J.D. NICHOLAS & ASSOCIATES, INC.

FIRST MIDWEST SECURITIES, INC.

HALLMARK INVESTMENTS, INC.

GUNNALLEN FINANCIAL, INC

NATIONAL SECURITIES CORPORATION

CONTINENTAL BROKER-DEALER CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/4/2002

SIE

Date: 8/16/2016

Series 7

Date: 2/22/2002

Current Firm

NETWORK 1 FINANCIAL SECURITIES INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NETWORK 1 FINANCIAL SECURITIES INC.

TRUST BUT VERIFY

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