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Saul Stephen Feiss

CRD# 1021722·Registered 1982 - 2018
Previously Registered: Being a previously registered professional could mean that Saul 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.

Professional Summary

Saul Stephen Feiss was a registered financial advisor. Saul was a previously registered financial professional and started their career in finance 1982 - 2018. Saul had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

44 years in the financial services industry

Current & Past Employments

GOVERNMENT PERSPECTIVES, LLC·CRD# 39276
BD
Marlboro, NJ
June 30, 1998 - April 30, 2018
MIZUHO SECURITIES USA LLC·CRD# 19647
BD
New York, NY
August 15, 1990 - June 30, 1998
WESTPAC POLLOCK GOVERNMENT SECURITIES INC.·CRD# 19792
BD
November 13, 1987 - July 3, 1990
WESTPAC POLLOCK & CO. INC.·CRD# 901
BD
March 2, 1982 - October 31, 1988

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Current Firm

GP
GOVERNMENT PERSPECTIVES, LLC

GOVERNMENT PERSPECTIVES, LLC

CRD#: 39276 / SEC#: 8-48609
BD
Terminated by SEC on 08/27/2018

Contact Information

Established

California since 07/20/1995

Firm Type

Limited Liability Company

Fiscal Year End

June

Documents

Direct owners and executive officers

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

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1982About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Apr 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Feb 1982About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 1984About the Series 24 exam

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CRS (Client Relationship Summary)

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

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