Albert Vagnozzi
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.
Albert Vagnozzi was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 2013. Albert had worked at 3 firms and has passed the Series 66, SIE 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
November 1, 2013 - March 12, 2024
PTK FINANCIAL, LLC
October 10, 2013 - October 1, 2014
PURSHE KAPLAN STERLING INVESTMENTS
June 5, 2013 - October 17, 2013
HORNOR, TOWNSEND & KENT, 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
Current Firm
PTK FINANCIAL, LLC
CRD#: 115012 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 393 |
| AUM (Assets Under Management) | $ 66,725,630 |
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.
