Joshua S. Shainberg
Professional summary
Joshua Simon Shainberg was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joshua is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Joshua had worked at 18 firms, which includes AMERICAN INVESTMENT SERVICES INC., DOMINARI SECURITIES LLC, BUTTONWOOD SECURITIES INC., M. RIMSON & CO. INC., INVESTORS ASSOCIATES INC., MALONE & ASSOCIATES INC., LOMBARD SECURITIES CORP., MLB INVESTMENTS LTD., CMT FINANCIAL GROUP, BERKELEY SECURITIES CORPORATION, ALLEGIANCE SECURITIES INC., MADISON CHAPIN ASSOCS. INC., LEHMAN BROTHERS INC., EQUITIES INTERNATIONAL SECURITIES INC., J. T. MORAN & CO. INC., BROADCHILD SECURITIES CORP., ROONEY PACE INC., KUHNS BROTHERS & LAIDLAW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 1996 - August 26, 1996
AMERICAN INVESTMENT SERVICES, INC.
January 20, 1996 - May 15, 1996
DOMINARI SECURITIES LLC
August 10, 1994 - December 15, 1995
BUTTONWOOD SECURITIES, INC.
April 15, 1993 - May 26, 1994
M. RIMSON & CO., INC.
June 17, 1992 - October 23, 1992
INVESTORS ASSOCIATES, INC.
July 25, 1990 - November 12, 1991
M. RIMSON & CO., INC.
June 7, 1990 - August 8, 1990
MALONE & ASSOCIATES, INC.
April 27, 1990 - May 29, 1990
LOMBARD SECURITIES CORP.
February 22, 1990 - March 8, 1990
MLB INVESTMENTS, LTD.
January 16, 1990 - February 14, 1990
CMT FINANCIAL GROUP
March 29, 1989 - December 13, 1989
BERKELEY SECURITIES CORPORATION
February 14, 1989 - April 3, 1989
ALLEGIANCE SECURITIES, INC.
November 15, 1988 - February 8, 1989
MADISON CHAPIN ASSOCS., INC.
April 13, 1988 - November 17, 1988
LEHMAN BROTHERS INC.
April 14, 1987 - August 2, 1988
EQUITIES INTERNATIONAL SECURITIES, INC.
January 30, 1987 - April 1, 1987
J. T. MORAN & CO., INC.
March 24, 1986 - April 15, 1986
BROADCHILD SECURITIES CORP.
December 12, 1985 - April 28, 1986
ROONEY, PACE INC.
September 11, 1985 - December 9, 1985
KUHNS BROTHERS & LAIDLAW, INC.
June 26, 1984 - November 14, 1985
BROADCHILD SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AMERICAN INVESTMENT SERVICES, INC.
CRD#: 21111 / SEC#: , 8-38685
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 14 |
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