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JB

Jesse A. Bromberg

Some features on this profile are disabled
CRD#: 1768170
JB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jesse Arthur Bromberg, who also goes by Arthur J Bromberg, was a registered financial professional .

Jesse is a previously registered financial professional and started their career in finance in 1987. Jesse had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Arthur J Bromberg

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

January 30, 2015 - October 16, 2015

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
TEANECK, NJ
Past

May 4, 2012 - February 8, 2013

OSAIC FA, INC.

BD
CRD#: 3978
MELVILLE, NY
Past

April 18, 2011 - April 4, 2012

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

September 20, 2007 - November 12, 2009

OSAIC WEALTH, INC.

BD
CRD#: 23131
NEW YORK, NY
Past

January 5, 2005 - May 1, 2007

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

April 11, 2003 - December 14, 2004

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT
Past

February 28, 2002 - November 25, 2002

FIRST EMPIRE SECURITIES, INC.

BD
CRD#: 15129
HAUPPAUGE, NY
Past

October 29, 1998 - June 30, 1999

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
BROOKLYN, NY
Past

April 3, 1996 - November 10, 1998

BARINGTON CAPITAL GROUP, L.P.

BD
CRD#: 29383
NEW YORK, NY
Past

April 4, 1994 - March 8, 1996

BLUESTONE CAPITAL CORP.

BD
CRD#: 13516
NEW YORK, NY
Past

April 24, 1993 - March 9, 1994

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

November 25, 1987 - April 8, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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: 3/11/2002
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/10/1993
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/16/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/27/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 12/21/1987
National Commodity Futures Examination

Current Firm

JT
J.P. TURNER & COMPANY, L.L.C.
J.P. TURNER & COMPANY | J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177 / SEC#: , 8-50156

BD
Terminated by SEC on 04/04/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 04/11/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BRAVES AQUISITION LLCMEMBER
SHELSON, MARK PAULCORPORATE TREASURER1819252
WOLL, EDWARD BARNETTCHIEF COMPLIANCE OFFICER1096606

Disclosures

Regulatory Event30
Arbitration12

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

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