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Assunta Perone

INTESA SANPAOLO IMI SECURITIES
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 7227194
AP

Professional summary

Assunta Perone is a registered financial professional currently at INTESA SANPAOLO IMI SECURITIES CORP. located in New York, New York.

Assunta is registered as a RR (Registered Representative) and started their career in finance in 2020. Assunta has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Assunta Perone's 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 28, 2020 - Present

INTESA SANPAOLO IMI SECURITIES CORP.

Office #1: 1 William Street, New York, NY 10004
BD
CRD#: 19418
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(11/9/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 11/7/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/26/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/18/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

IS
INTESA SANPAOLO IMI SECURITIES CORP.
BANCA IMI SECURITIES CORP. | INTESA SANPAOLO IMI SECURITIES CORP. | IMI SECURITIES CORPORATION | EURAM SECURITIES CORPORATION

CRD#: 19418 / SEC#: , 8-37444

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1 William Street, New York, NY 10004
Mailing Address
1 William Street, New York, NY 10004
Phone number
(212) 326-1100
Established
Delaware since 12/01/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
IMI CAPITAL MARKETS USA CORPORATIONSOLE SHAREHOLDER
AMOROSO, PAOLO GLAUCOCORPORATE SECRETARY7870609
BURIOLI, NOVELLADIRECTOR7874990
DIBELLA, VINCENTCHIEF FINANCIAL OFFICER/ TREASURER2587408
LUCCHINI, STEFANODIRECTOR7889772
MARRAS, STEFANOCEO/DIRECTOR7322813
PARISI, RICHARD ANTHONYCHIEF OPERATIONS OFFICER4668388
RUIZ, JEFFREY ACHIEF COMPLIANCE OFFICER2562825
SEGNI, LAURADIRECTOR7890924

Disclosures

Regulatory Event11
Criminal1
Civil Event1

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.

Company Information

INTESA SANPAOLO IMI SECURITIES CORP.

CRD#: 19418New York, NY 10004

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