Rory F. Cantando
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.
Rory Frank Cantando was a registered financial professional .
Rory is a previously registered financial professional and started their career in finance in 1977. Rory had worked at 7 firms and has passed the Series 63, SIE, Series 5, PC 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
August 31, 2017 - January 16, 2018
FORD FINANCIAL GROUP
August 31, 2017 - January 2, 2018
LPL FINANCIAL LLC
October 14, 2005 - September 7, 2017
WELLS FARGO CLEARING SERVICES, LLC
October 14, 2005 - September 7, 2017
WELLS FARGO CLEARING SERVICES, LLC
July 8, 1997 - October 28, 2005
UBS FINANCIAL SERVICES INC.
January 5, 1987 - October 28, 2005
UBS FINANCIAL SERVICES INC.
June 5, 1979 - December 18, 1986
LEHMAN BROTHERS INC.
September 26, 1978 - June 25, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 5/15/1979
AMEX Put and Call ExamCurrent Firm
FORD FINANCIAL GROUP
CRD#: 284977 / SEC#: 801-108765
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,023 |
| AUM (Assets Under Management) | $ 537,133,786 |
Red Flags
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