Stuart M. Rubens
Professional summary
Stuart Mark Rubens was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stuart is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Stuart had worked at 9 firms, which includes JWGENESIS SECURITIES INC., GMS GROUP, JOSEPHTHAL & CO. INC., PRUDENTIAL EQUITY GROUP LLC, A. G. EDWARDS & SONS INC., HALPERT AND COMPANY INC., ADVEST INC., UBS FINANCIAL SERVICES INC., J. B. HANAUER & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 1998 - September 24, 1999
JWGENESIS SECURITIES, INC.
February 13, 1996 - November 24, 1998
GMS GROUP
July 1, 1993 - January 4, 1996
JOSEPHTHAL & CO., INC.
April 19, 1991 - June 15, 1993
PRUDENTIAL EQUITY GROUP, LLC
April 25, 1984 - April 2, 1991
A. G. EDWARDS & SONS, INC.
January 5, 1984 - April 13, 1984
HALPERT AND COMPANY, INC.
February 24, 1983 - November 28, 1983
ADVEST, INC.
August 23, 1982 - November 19, 1982
UBS FINANCIAL SERVICES INC.
March 5, 1982 - August 18, 1982
J. B. HANAUER & CO.
State Registrations and Notice Filings
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Exams
Current Firm
JWGENESIS SECURITIES, INC.
CRD#: 33832 / SEC#: , 8-46367
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
| Arbitration | 8 |
Red Flags
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