Larry O. Dubin
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.
Larry Orrin Dubin was a registered financial advisor .
Larry is a previously registered financial advisor and started their career in finance in 1984. Larry had worked at 7 firms and has passed the Series 65, Series 63 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
April 7, 2010 - July 30, 2010
FINANCIAL WEST GROUP
April 7, 2010 - July 30, 2010
FINANCIAL WEST GROUP
February 18, 2005 - June 8, 2009
GUNNALLEN FINANCIAL, INC
February 18, 2005 - March 30, 2010
GUNNALLEN FINANCIAL, INC
September 29, 2004 - March 4, 2005
J.P. TURNER & COMPANY, L.L.C.
April 5, 2002 - October 1, 2004
FIRST MONTAUK SECURITIES CORP.
April 5, 2002 - October 1, 2004
FIRST MONTAUK SECURITIES CORP.
October 1, 1985 - April 19, 2002
GRUNTAL & CO., L.L.C.
May 14, 1985 - October 1, 1985
JII SECURITIES INC.
April 18, 1984 - April 26, 1985
LISS TENNER & GOLDBERG SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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