Sebastian Attardo
Professional summary
Sebastian Attardo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sebastian is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, Sebastian had worked at 9 firms, which includes SAXONY SECURITIES INC., NATIONAL SECURITIES CORPORATION, THE STUART-JAMES COMPANY INCORPORATED, LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION, FIRST PARK EQUITIES INC., NORTH AMERICAN MANAGEMENT INC., EDWARDS & HANLY, GOTHAM SECURITIES, NORTHEAST INVESTORS PLANNING CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2002 - May 21, 2003
SAXONY SECURITIES, INC.
May 24, 1988 - July 21, 1997
NATIONAL SECURITIES CORPORATION
February 6, 1987 - August 30, 2002
NATIONAL SECURITIES CORPORATION
June 13, 1984 - October 29, 1986
THE STUART-JAMES COMPANY, INCORPORATED
May 31, 1983 - June 25, 1983
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
May 31, 1983 - May 9, 1984
FIRST PARK EQUITIES, INC.
May 20, 1983 - October 3, 1983
NORTH AMERICAN MANAGEMENT, INC.
March 15, 1973 - December 3, 1973
EDWARDS & HANLY
September 1, 1972 - February 28, 1973
GOTHAM SECURITIES
December 22, 1969 - August 23, 1972
NORTHEAST INVESTORS PLANNING 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
Series 1
Date: 8/10/1964
Registered Representative ExaminationSeries 00
Date: 7/25/1966
General Securities Principal ExaminationCurrent Firm
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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