Salvatore P. Liggieri
Professional summary
Salvatore Paul Liggieri was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Salvatore is a previously registered financial professional and started their career in finance in 1978. Prior to being barred, Salvatore had worked at 7 firms, which includes SANDGRAIN SECURITIES LLC, PRIME CAPITAL SERVICES INC., UBS FINANCIAL SERVICES INC., PRUDENTIAL EQUITY GROUP LLC, CIBC WORLD MARKETS CORP., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2000 - August 17, 2001
SANDGRAIN SECURITIES LLC
June 27, 1994 - August 4, 2000
PRIME CAPITAL SERVICES, INC.
June 27, 1989 - June 16, 1994
UBS FINANCIAL SERVICES INC.
April 8, 1985 - July 15, 1989
PRUDENTIAL EQUITY GROUP, LLC
November 8, 1979 - April 25, 1985
CIBC WORLD MARKETS CORP.
September 26, 1978 - March 13, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Exams
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationCurrent Firm
SANDGRAIN SECURITIES LLC
CRD#: 26004 / SEC#: , 8-42262
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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