Brent J. Sorrentino
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.
Brent Joseph Sorrentino was a registered financial professional .
Brent is a previously registered financial professional and started their career in finance in 1976. Brent had worked at 15 firms and has passed the Series 63, SIE, PC, Series 7 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2010 - September 6, 2017
BGC FINANCIAL, L.P.
July 5, 2005 - November 16, 2010
B. RILEY WEALTH MANAGEMENT
February 16, 1999 - June 28, 2005
FIRST BROKERS SECURITIES LLC
July 1, 1998 - February 6, 1999
COWEN AND COMPANY
June 16, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
November 15, 1996 - June 12, 1997
W.A. CAPITAL MARKETS
September 21, 1993 - August 15, 1996
J.P. MORGAN SECURITIES INC.
August 9, 1993 - September 20, 1993
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
November 30, 1989 - June 4, 1991
MORGAN STANLEY DW INC.
March 30, 1988 - October 12, 1989
THOMSON MCKINNON SECURITIES INC.
October 20, 1983 - March 19, 1988
MOSELEY SECURITIES CORPORATION
November 4, 1982 - September 30, 1983
ADVEST, INC.
March 18, 1982 - October 12, 1982
BRODIS SECURITIES INCORPORATED
November 5, 1980 - May 17, 1982
PELORUS SECURITIES, INC.
November 1, 1979 - March 15, 1980
MORGAN STANLEY DW INC.
February 20, 1976 - September 6, 1979
BEVILL, BRESLER & SCHULMAN 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
PC
Date: 10/18/1980
AMEX Put and Call ExamSeries 40
Date: 2/14/1977
Registered Principal ExaminationCurrent Firm
BGC FINANCIAL, L.P.
CRD#: 19801 / SEC#: , 8-39012
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BGC BROKERS US L.P. | LIMITED PARTNER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| AUBIN, JEAN PIERRE | EXECUTIVE MANAGING DIRECTOR EQUITIES, DERIVATIVES, FUTURES | 5596046 |
| BGCF HOLDINGS LLC | GENERAL PARTNER | |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | MANAGING DIRECTOR FIXED INCOME AND COMMODITIES | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 36 |
Red Flags
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