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Salvatore John Saraceno

Capital ONE Securities, Inc.

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About Salvatore John Saraceno

Salvatore John Saraceno is a registered representative with Capital ONE Securities, Inc. Salvatore has over 26 years of experience in the securities industry. Salvatore has held previous positions with BTIG, LLC, GRIFFIN SECURITIES, INC., SPENCER TRASK VENTURES, INC., OAKES, FITZWILLIAMS & CO. L.P., and NOMURA SECURITIES INTERNATIONAL, INC.. Salvatore is registered with the following securities regulators: FINRA, California, Connecticut, Florida, Illinois, Louisiana, Maryland, Massachusetts, New York, Pennsylvania, Texas, and Virginia.

Firm Information

Salvatore Saraceno is currently registered with Capital ONE Securities, Inc.. Capital ONE Securities, Inc. is a Corporation formed in April 2000 and approved in multiple states, including California, Connecticut, Florida, Illinois, Louisiana, Maryland, Massachusetts, New York, Pennsylvania, Texas, and Virginia. They are also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

103

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Salvatore Saraceno’s Registration & Firm History

NY

12/06/2022 - Present

Capital ONE Securities, Inc. (New York NY)

NY

01/04/2016 - 10/05/2022

BTIG, LLC (New York NY)

NY

04/09/2002 - 01/04/2016

GRIFFIN SECURITIES, INC. (NEW YORK NY)

NY

04/01/1997 - 10/03/2001

SPENCER TRASK VENTURES, INC. (NEW YORK NY)

NY

06/12/1996 - 04/11/1997

OAKES, FITZWILLIAMS & CO. L.P. (NEW YORK NY)

NY

11/09/1995 - 05/17/1996

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/07/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/08/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Salvatore John Saraceno.
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