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LR

Louis J. Rettino

Some features on this profile are disabled
CRD#: 4590496
LR

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.

Louis Joseph Rettino, who also goes by Louis J. Rettino, was a registered financial professional .

Louis is a previously registered financial professional and started their career in finance in 2002. Louis had worked at 6 firms and has passed the Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Louis J. Rettino

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

January 20, 2023 - September 27, 2024

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
NEW YORK, NY
Past

March 7, 2016 - January 19, 2023

SANTANDER US CAPITAL MARKETS LLC

BD
CRD#: 150696
RED BANK, NJ
Past

August 5, 2009 - March 14, 2016

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
NEW YORK, NY
Past

January 7, 2005 - August 5, 2009

FHN FINANCIAL SECURITIES CORP.

BD
CRD#: 46346
NEW YORK, NY
Past

March 31, 2003 - April 30, 2003

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

January 28, 2003 - March 27, 2003

REDI GLOBAL TECHNOLOGIES LLC

BD
CRD#: 41924
NEW YORK, NY
Past

November 19, 2002 - January 7, 2005

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
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

State Security Law Exam
RR
Series 63
Date: 11/25/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/16/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/18/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/15/2008
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/14/2008
General Securities Principal Examination

Current Firm

SF
SUSQUEHANNA FINANCIAL GROUP, LLLP
FOREST LANE SECURITIES, INC. | SUSQUEHANNA FINANCIAL GROUP, LLLP | SUSQUEHANNA FINANCIAL GROUP, L.P. | SUSQUEHANNA FINANCIAL GROUP, INC.

CRD#: 35865 / SEC#: , 8-44325

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

Main Address
401 City Ave Suite 220, Bala Cynwyd, PA 19004-1122
Mailing Address
401 City Ave Suite 220, Bala Cynwyd, PA 19004-1122
Phone number
(800) 825-9550
Established
Delaware since 07/25/2002
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SFG HOLDING, LLCLIMITED PARTNER
DAMATO, DANIEL DAVID IIFINOP7430998
DANIELS, ETHAN SCOTTPOO5902179
KRASNICK, ALAN JONATHANMUNICIPAL SECURITIES PRINCIPAL4606571
MCENTEE, ROBERT FRANCIS JR.CHIEF COMPLIANCE OFFICER4722705
SFG PARTNER LLCGENERAL PARTNER
WOOD, NICHOLAS HPRESIDENT2626078

Disclosures

Regulatory Event12

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

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865

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