Allison M. Pusateri
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.
Allison Marie Pusateri, who also goes by Allison M Pusateri Ms., Allison M Pusateri, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 2007. Allison had worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2013 - March 19, 2014
TD AMERITRADE, INC.
August 8, 2013 - March 19, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 5, 2013 - March 19, 2014
TD AMERITRADE, INC.
February 17, 2012 - June 27, 2013
FIDELITY BROKERAGE SERVICES LLC
August 27, 2011 - January 27, 2012
FIFTH THIRD SECURITIES, INC.
September 17, 2007 - June 2, 2011
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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