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Saul S. Feiss

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CRD#: 1021722
SF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Saul Stephen Feiss was a registered financial professional .

Saul is a previously registered financial professional and started their career in finance in 1982. Saul had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 30, 1998 - April 30, 2018

GOVERNMENT PERSPECTIVES, LLC

BD
CRD#: 39276
MARLBORO, NJ
Past

August 15, 1990 - June 30, 1998

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY
Past

November 13, 1987 - July 3, 1990

WESTPAC POLLOCK GOVERNMENT SECURITIES INC.

BD
CRD#: 19792
Past

March 2, 1982 - October 31, 1988

WESTPAC POLLOCK & CO. INC.

BD
CRD#: 901

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/3/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/30/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/1982
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/31/1984
General Securities Principal Examination

Current Firm

GP
GOVERNMENT PERSPECTIVES, LLC
GOVERNMENT PERSPECTIVES, LLC

CRD#: 39276 / SEC#: , 8-48609

BD
Terminated by SEC on 08/27/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 07/20/1995
Firm type
Limited Liability Company
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WILLIAMS, RICHARD ALLANMEMBER/CHIEF COMPLIANCE OFFICER1877374
BRAUNSTEIN, LYNDA MARIE MSMUNICIPAL PRINCIPAL1906747
REILLY, MEREDITH ANNEFINOP5811859

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

GOVERNMENT PERSPECTIVES, LLC

CRD#: 39276

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