Individual Firm
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SEBASTIAN VINCENT MARUCA
SAM MARUCA
CRD#: 2872435
IA
B
ESI FINANCIAL ADVISORSCRD#: 265 410 MOTOR PARKWAY
2ND FLOOR
HAUPPAUGE, NY 11788
2ND FLOOR
HAUPPAUGE, NY 11788
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1/12/2016
Employment Separation After Allegations
6/27/2011
Customer Dispute
Denied
State Registrations
B
Florida 5/31/2016
IA
New York 6/22/2021
B
New Jersey 8/25/2020
B
Pennsylvania 1/21/2021
B
New York 4/8/2016
SRO Registrations
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 6/22/2021
B
Registered with this firm since 3/31/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/23/1997 - 02/08/2016 | HAUPPAUGE, NY | |
B | 05/23/1997 - 07/09/2007 | HAUPPAUGE, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.