Victor Verola
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.
Victor Verola was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1977. Victor had worked at 9 firms and has passed the Series 63, Series 7, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 1993 - September 16, 1993
SUNPOINT SECURITIES, INC.
October 26, 1983 - January 28, 1997
GREAT AMERICAN FINANCIAL NETWORK, INC.
April 5, 1983 - October 17, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1982 - March 30, 1983
E. F. HUTTON & COMPANY INC
March 29, 1982 - July 22, 1982
MORGAN STANLEY DW INC.
April 2, 1980 - February 14, 1982
THOMSON MCKINNON SECURITIES INC.
August 1, 1979 - April 4, 1980
DREXEL BURNHAM LAMBERT INCORPORATED
September 1, 1978 - August 9, 1979
MORGAN STANLEY DW INC.
April 11, 1978 - September 25, 1978
E. F. HUTTON & COMPANY INC
January 27, 1978 - April 28, 1978
LEHMAN BROTHERS INC.
October 26, 1977 - February 24, 1978
LEGEL, BRASWELL SECURITIES CORP.
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
Current Firm
SUNPOINT SECURITIES, INC.
CRD#: 25442 / SEC#: , 8-41741
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEWIS, VAN ROBERSON | CEO/PRESIDENT/FOUNDER | 1562328 |
| CHILDERS, DIANNE BAILEY | VP COMPLIANCE | |
| HAGEN, BRETT WILLIAM | CHIEF OPERATIONS OFFICER | |
| KATZ, DONALD LESTER | FINOP/EXECUTIVE VICE PRESIDENT ACCOUNTING AND COMPLIANCE | |
| SAPAUGH, MARVIN WAYNE | EXECUTIVE V.P. OF INVESTMENT SERVICES |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 1 |
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.
