Alfred B. Poto
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.
Alfred Benedetto Poto, who also goes by Al Poto, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1976. Alfred had worked at 7 firms and has passed the Series 63, Series 52TO, SIE and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2018 - October 27, 2025
DINOSAUR FINANCIAL GROUP, L.L.C
June 1, 2012 - January 3, 2017
TULLETT PREBON FINANCIAL SERVICES LLC
February 15, 2001 - June 1, 2012
CHAPDELAINE TULLETT PREBON, LLC
March 24, 1999 - October 5, 2000
CANTOR FITZGERALD & CO.
November 1, 1993 - October 3, 2000
CANTOR FITZGERALD SECURITIES
February 4, 1993 - October 5, 2000
MINT BROKERS
February 6, 1976 - February 20, 1993
TITUS & DONNELLY LLC
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
