Stuart Fromm
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.
Stuart Fromm was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1983. Stuart had worked at 7 firms and has passed the Series 63, Series 3, Series 15 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2007 - July 16, 2012
OBERON SECURITIES, LLC
June 1, 2005 - December 31, 2005
CANACCORD GENUITY LLC
November 22, 2000 - August 6, 2004
VOYA INVESTMENTS DISTRIBUTOR, LLC
September 16, 1999 - November 17, 2000
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
September 24, 1992 - March 24, 1999
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
January 29, 1990 - September 9, 1992
GLOBAL ATLANTIC DISTRIBUTORS, LLC
August 23, 1983 - January 18, 1988
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 4/8/1985
Foreign Currency Options ExaminationCurrent Firm
OBERON SECURITIES, LLC
CRD#: 132598 / SEC#: , 8-66607
Contact information
FINRA licenses (22 States and Territories)
Documents
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.
