Gennady I. Klotsman
Professional summary
Gennady Ilya Klotsman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gennady is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Gennady had worked at 20 firms, which includes SHAMUS GROUP INC., REPUBLIC EQUITIES OF AMERICA LTD, STATE CAPITAL MARKETS CORPORATION, WESTFIELD FINANCIAL CORPORATION, DUKE & CO. INC., J. GREGORY & COMPANY INC., JOSEPHTHAL & CO. INC., FIRST MONTAUK SECURITIES CORP., BLUESTONE CAPITAL CORP., LEHMAN BROTHERS INC., RODMAN & RENSHAW INC., BAILEY MARTIN & APPEL INC., R.C. STAMM & CO. INC., COPELAND SECURITIES INCORPORATED, PHILIPS APPEL & WALDEN INC., MOSELEY SECURITIES CORPORATION, ROONEY PACE INC., J.P. MORGAN SECURITIES LLC, O. R. SECURITIES INC., WZW FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 1997 - December 17, 1997
SHAMUS GROUP, INC.
June 11, 1997 - February 2, 1998
REPUBLIC EQUITIES OF AMERICA LTD
January 24, 1994 - July 31, 1995
STATE CAPITAL MARKETS CORPORATION
April 7, 1993 - September 25, 1993
WESTFIELD FINANCIAL CORPORATION
May 7, 1992 - March 6, 1993
DUKE & CO., INC.
September 26, 1991 - April 14, 1992
J. GREGORY & COMPANY, INC.
February 14, 1990 - November 1, 1991
JOSEPHTHAL & CO., INC.
October 25, 1989 - February 15, 1990
FIRST MONTAUK SECURITIES CORP.
July 10, 1989 - October 25, 1989
BLUESTONE CAPITAL CORP.
January 27, 1989 - July 10, 1989
LEHMAN BROTHERS INC.
January 5, 1989 - January 12, 1989
RODMAN & RENSHAW INC.
November 3, 1988 - December 6, 1988
BAILEY, MARTIN & APPEL, INC.
February 29, 1988 - September 20, 1988
R.C. STAMM & CO., INC.
February 28, 1988 - October 25, 1988
R.C. STAMM & CO., INC.
December 21, 1987 - January 12, 1988
COPELAND SECURITIES INCORPORATED
May 21, 1987 - January 4, 1988
PHILIPS, APPEL & WALDEN, INC.
March 30, 1987 - July 10, 1989
LEHMAN BROTHERS INC.
February 5, 1987 - March 25, 1987
MOSELEY SECURITIES CORPORATION
January 21, 1986 - January 16, 1987
ROONEY, PACE INC.
December 26, 1985 - January 10, 1986
J.P. MORGAN SECURITIES LLC
October 8, 1985 - December 26, 1986
O. R. SECURITIES, INC.
August 29, 1985 - October 8, 1985
WZW FINANCIAL SERVICES, INC.
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
Current Firm
SHAMUS GROUP, INC.
CRD#: 5036 / SEC#: , 8-29115
Contact information
Documents
Red Flags
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