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FS

Felix H. Sater

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CRD#: 1421063
FS

Professional summary

Felix Henry Sater was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Felix is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Felix had worked at 5 firms, which includes LEHMAN BROTHERS INC., GRUNTAL & CO. L.L.C., MOSELEY SECURITIES CORPORATION, ROONEY PACE INC., BROADCHILD SECURITIES CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Haim Felix Sater | Haim Sater

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 29, 1991 - March 5, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

December 20, 1988 - January 7, 1989

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

March 7, 1988 - October 9, 1991

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
Past

June 10, 1987 - March 9, 1988

MOSELEY SECURITIES CORPORATION

BD
CRD#: 7908
Past

March 13, 1987 - June 24, 1987

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

May 2, 1986 - June 19, 1986

ROONEY, PACE INC.

BD
CRD#: 6218
Past

March 19, 1986 - May 19, 1986

BROADCHILD SECURITIES CORP.

BD
CRD#: 7702

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/14/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/1986
General Securities Representative Examination

Current Firm

LB
LEHMAN BROTHERS INC.
LEHMAN BROTHERS | SHEARSON/AMERICAN EXPRESS INC. | SHEARSON LOEB RHOADES INC. | SHEARSON LEHMAN/AMERICAN EXPRESS INC. | SHEARSON LEHMAN HUTTON INC. | SHEARSON LEHMAN BROTHERS INC. | LEHMAN BROTHERS, INC. | LEHMAN BROTHERS MARKET MAKERS | LEHMAN BROTHERS INC.

CRD#: 7506 / SEC#: , 8-12324

BD
Cancelled by SEC on 12/07/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/21/1965
Firm type
Corporation
Fiscal year end
November
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LEHMAN BROTHERS HOLDINGS INC.SOLE SHAREHOLDER
CLARK, HOWARD LONGSTRETH JRDIRECTOR47587
CRUIKSHANK, THOMAS HENRYDIRECTOR4708135
FREIDHEIM, SCOTT JONCO-CHIEF ADMINISTRATIVE OFFICER1766230
FULD, RICHARD SEVERIN JRDIRECTOR/CHAIRMAN AND CEO215527
LOWITT, IAN THEOCO-CHIEF ADMINISTRATIVE OFFICER4210205
MCDADE III, HERBERT H.PRESIDENT AND CHIEF OPERATING OFFICER1185218
RUSSO, THOMAS ANTHONYCHIEF LEGAL OFFICER3188169

Disclosures

Regulatory Event359
Civil Event1
Arbitration527

Red Flags

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Company Information

LEHMAN BROTHERS INC.

CRD#: 7506

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