Salvatore Cioffalo
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.
Salvatore Cioffalo, who also goes by Sal Cioffalo, was a registered financial professional .
Salvatore is a previously registered financial professional and started their career in finance in 1975. Salvatore had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2013 - August 21, 2015
ROBERT W. BAIRD & CO. INCORPORATED
January 3, 2011 - June 25, 2013
KEYBANC CAPITAL MARKETS INC.
April 22, 2008 - January 4, 2011
SCOTT & STRINGFELLOW, LLC
January 7, 2005 - May 2, 2007
FHN FINANCIAL SECURITIES CORP.
April 16, 2002 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
July 17, 2001 - April 18, 2002
ABN AMRO INCORPORATED
June 5, 1995 - September 24, 1999
PRUDENTIAL EQUITY GROUP, LLC
July 14, 1994 - April 10, 1995
PERSHING LLC
May 6, 1987 - May 18, 1994
PRUDENTIAL EQUITY GROUP, LLC
March 20, 1975 - April 23, 1987
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
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 8
Date: 11/27/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 |
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.
