Robert A. Papariella
Professional summary
Robert Anthony Papariella was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Robert had worked at 9 firms, which includes NORTHEAST SECURITIES LLC, A. G. EDWARDS & SONS INC., LPL ENTERPRISE LLC, FIRST UNION CAPITAL MARKETS CORP., CITIGROUP GLOBAL MARKETS INC., PRUDENTIAL EQUITY GROUP LLC, LEHMAN BROTHERS INC., PRESCOTT BALL & TURBEN INC., UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2001 - April 10, 2001
NORTHEAST SECURITIES, LLC
April 6, 2001 - April 5, 2002
A. G. EDWARDS & SONS, INC.
May 21, 1999 - April 6, 2001
LPL ENTERPRISE, LLC
May 12, 1997 - May 24, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 17, 1992 - May 23, 1997
CITIGROUP GLOBAL MARKETS INC.
April 6, 1988 - January 17, 1992
PRUDENTIAL EQUITY GROUP, LLC
January 21, 1986 - April 20, 1988
LEHMAN BROTHERS INC.
June 5, 1985 - February 5, 1986
PRESCOTT, BALL & TURBEN, INC.
March 23, 1981 - June 10, 1985
UBS FINANCIAL SERVICES INC.
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
Series 15
Date: 6/25/1984
Foreign Currency Options ExaminationSeries 5
Date: 6/18/1984
Interest Rate Options ExaminationSeries 8
Date: 4/5/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
Red Flags
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