Cary S. Sprung
Professional summary
Cary Steven Sprung was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Cary is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Cary had worked at 4 firms, which includes EHRENKRANTZ KING NUSSBAUM, UBS FINANCIAL SERVICES INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 1995 - July 14, 1997
EHRENKRANTZ KING NUSSBAUM
February 4, 1994 - January 17, 1995
UBS FINANCIAL SERVICES INC.
July 31, 1993 - February 9, 1994
CITIGROUP GLOBAL MARKETS INC.
July 23, 1986 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
EHRENKRANTZ KING NUSSBAUM
CRD#: 31140 / SEC#: , 8-45397
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JSM CAPITAL HOLDING CORP | SHAREHOLDER | |
| BACARDI, FACUNDO | DIRECTOR | 4407410 |
| BOCCAFOLA, ANDREA LEE | TREASURER, SECRETARY, DIRECTOR | 2331624 |
| FIRST, HAROLD | DIRECTOR | 2118299 |
| KING, JOAN MARY | PRESIDENT, DIRECTOR | 269942 |
| MATTHEWS, JOHN SCOTT | CHAIRMAN | 2082907 |
| NUSSBAUM, IRWIN | C.E.O., DIRECTOR | 349942 |
| TROTTA, FRANCIS MICHAEL | C.F.O., FIN OP., O.P. | 449591 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
| Arbitration | 2 |
Red Flags
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