Samuel G. Lederman
Professional summary
Samuel Gary Lederman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Samuel is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Samuel had worked at 2 firms, which includes FIRST INSTITUTIONAL SECURITIES L.L.C., A. F. BEST SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 1989 - July 5, 2000
FIRST INSTITUTIONAL SECURITIES, L.L.C.
January 22, 1986 - May 31, 1989
A. F. BEST SECURITIES, 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
FIRST INSTITUTIONAL SECURITIES, L.L.C.
CRD#: 23910 / SEC#: , 8-40992
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLUBSIDE LIMITED, L.L.C. | NONE (OWNER ONLY) | |
| GORE, BERT ELWOOD JR | COO / INSTITUTIONAL SALES MANAGER | 501978 |
| WEST DOVER ASSOCIATES, L.L.C. | NONE (OWNER ONLY) | |
| BOARDMAN, MATTHEW MILES | FIXED INCOME TRADING MANAGER/RETAIL SALES MANAGER | 843666 |
| GOLDBERG, STANLEY ROBERT | CEO | 224038 |
| LISS, GEORGE | PRESIDENT | 601837 |
| COLAIACOVO, DAREN JOHN | EMPLOYEE | 2186242 |
| EARNHARDT, ERIC MICHAEL | CHIEF COMPLIANCE OFFICER | 1855856 |
| EDGAR, DAVID WILLIAM | EMPLOYEE | 1004169 |
| ELLENTUCK, TODD MICHAEL | EMPLOYEE | 1321452 |
| FERGANG, SCOTT DAVID | EMPLOYEE | 1758758 |
| GOLDBERG, HOWARD | EMPLOYEE | 2800828 |
| KNIPFELBERG, CHERYL KATHLEEN | EMPLOYEE | 724231 |
| KOLBEN, PETER MEYER | EMPLOYEE | 1919765 |
| LAZARE, DARREN EVAN | EMPLOYEE | 2378165 |
| LEVINE, THOMAS RICHARD | EMPLOYEE | 713769 |
| LIBIN, STEVEN BRUCE | EMPLOYEE | 1339503 |
| LOONEY, EDWARD JOSEPH JR | SROP / CROP | 1009933 |
| NEWMAN, MARC DOUGLAS | EMPLOYEE | 870528 |
| PICARELLO, LARRY PAUL | CHIEF FINANCIAL OFFICER / FINOP | 1330946 |
| PROST, GEORGE L | EMPLOYEE | 1334567 |
| QUERQUES, JEFFREY DANA | EMPLOYEE | 1108636 |
| QUINN, DAVID BRIAN | EMPLOYEE | 1139076 |
| SALINO, MATTHEW RAYMOND | EMPLOYEE | 1004340 |
| SALZMAN, BENNETT ROY | EMPLOYEE | 1509040 |
| SCOTT, KEVIN | EMPLOYEE | 2677403 |
| SHERMAN, MERVIN ALLEN | EMPLOYEE | 1109362 |
| SPERBER, LAWRENCE SCOTT | EMPLOYEE | 1311458 |
| STEIN, DAVID HOWARD | EMPLOYEE | 1316506 |
| SULLIVAN, JAMES KEVIN | EMPLOYEE | 1163104 |
| WEINSTEIN, MICHAEL JAY | EMPLOYEE | 1037475 |
| ZYMET, MARK JAY | EMPLOYEE | 871701 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 4 |
Red Flags
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