Charles E. Pallotta

FIRST SOUTHERN

Guaynabo, PR 00968-1772

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CRD#: 5452153

Professional summary

Charles Edward Pallotta, who also goes by Ed Pallotta, is a registered financial professional currently at FIRST SOUTHERN, LLC located in Guaynabo, .

Charles is registered as a RR (Registered Representative) and started their career in finance in 2013. Charles has worked at 5 firms and has passed the SIE, Series 57, Series 7 and Series 99 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ed Pallotta

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) - BD

Click below to view Charles Edward Pallotta's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

September 23, 2025 - Present

FIRST SOUTHERN, LLC

Office #1: 2 Tabonuco Street, Suite 200, Guaynabo, PR 00968-1772

CRD#: 282756

Guaynabo, PR

Past

April 8, 2021 - September 29, 2025

INSIGHT SECURITIES, INC.

CRD#: 5611

HIGHLAND PARK, IL

Past

April 1, 2020 - March 30, 2021

AMERICAN VETERANS GROUP, PBC

CRD#: 291933

MELVILLE, NY

Past

March 25, 2019 - October 25, 2019

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

Lynbrook, NY

Past

April 23, 2013 - December 14, 2018

NORTHEAST SECURITIES, LLC

CRD#: 25996

MITCHELFIELD, 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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 57

Date: 7/31/2017

Securities Trader Exam

General Industry/Product Exam

Series 7

Date: 6/3/2015

General Securities Representative Examination

General Industry/Product Exam

Series 99

Date: 4/22/2013

Operations Professional Examination

SRO Registrations

FINRA

Current Firm

FIRST SOUTHERN, LLC

ESH CAPITAL, LLC | GLOBAL SILICON VALLEY SECURITIES LLC | FIRST SOUTHERN, LLC

CRD#: 282756 / SEC#: , 8-69733

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

2 Tabonuco Street, Suite 200, Guaynabo, PR 00968-1772

Mailing Address

2 Tabonuco Street, Suite 200, Guaynabo, PR 00968-1772

Phone number

(770) 777-9373

Established

Puerto Rico since 02/24/2016

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (35 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BENT, INC.	SHAREHOLDER
HEEHAW INC.	SHAREHOLDER
VSPR, INC.	SHAREHOLDER
PAGAN MARXUACH, RAFAEL ANTONIO	OWNER	2863850
HAWK, WILLIAM HEATH	PRESIDENT/CEO/MANAGING MEMBER	2494928
JACKELS, STEPHANIE KANE	FINOP/PFO	5928877
JONES, SHARON DOSTER	CHIEF COMPLIANCE OFFICER	3124470
SFYRIS, VASILEIOS ALEXIOS	MANAGING MEMBER/POO	4026992

Disclosures

Regulatory Event

Red Flags

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Advisor Monitoring

Firm Stability Insights

Charles E. Pallotta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Edward Pallotta's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSIGHT SECURITIES, INC.

AMERICAN VETERANS GROUP, PBC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

NORTHEAST SECURITIES, LLC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 57

Date: 7/31/2017

Series 7

Date: 6/3/2015

Series 99

Date: 4/22/2013

FINRA

Current Firm

FIRST SOUTHERN, LLC

Contact information

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIRST SOUTHERN, LLC

TRUST BUT VERIFY

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