Albert N. Degano
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 Nicholas Degano was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1970. Albert had worked at 6 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2015 - July 31, 2018
NATIONAL SECURITIES CORPORATION
January 1, 2008 - March 20, 2015
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - March 20, 2015
WELLS FARGO CLEARING SERVICES, LLC
July 27, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
November 6, 1990 - January 3, 2008
A. G. EDWARDS & SONS, INC.
September 15, 1989 - November 7, 1990
PRUDENTIAL EQUITY GROUP, LLC
October 16, 1973 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
November 18, 1970 - December 17, 1973
DUPONT WALSTON, 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: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 2/20/1963
Registered Representative ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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