Roberto Giangregorio
Professional Summary
Roberto Giangregorio is a registered financial advisor currently at SAMI BROKERAGE LLC located in Stamford, Connecticut. Roberto is registered as a RR (Registered Representative) and started their career in finance in 2003. Roberto has worked at 1 firm and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
MCCARROLL & CO., INC. | SPECTRUM ASSET MANAGEMENT, INC. | SAMI BROKERAGE LLC | PRINCIPAL GLOBAL INVESTORS
Contact Information
Main Address
2 High Ridge Park 2nd Floor, Stamford, CT 06905Mailing Address
2 High Ridge Park 2nd Floor, Stamford, CT 06905Phone Number
(203) 322-0189Established
Delaware since 11/09/2018Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (17 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SPECTRUM ASSET MANAGEMENT, INC. | 100% OWNER | — |
| BYER, MATTHEW ROSS | CHIEF INFORMATION SECURITY OFFICER | 3120607 |
| HANCZOR, JOSEPH ANDREW | CHIEF COMPLIANCE OFFICER | 5200684 |
| JACOBY, LEWIS PHILLIP IV | HEAD OF TRADING | 1238147 |
| LIEB, MARK ALAN | PRESIDENT | 853490 |
| ORLANDO, JEAN MARIE | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | 1197909 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(8/22/2003)
(3/11/2020)
(3/11/2020)
(3/11/2020)
(3/11/2020)
(3/11/2020)
(3/11/2020)
(5/21/2021)
(7/8/2024)
(8/22/2003)
(3/11/2020)
(3/11/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Apr 2004SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Roberto Giangregorio's CRS (Customer Relationship Summary).
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