Carl S. Bronstein
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.
Carl Samuel Bronstein, who also goes by Carl S Bronstein, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1987. Carl had worked at 12 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2012 - August 1, 2014
AXIOM CAPITAL MANAGEMENT, INC.
April 5, 2011 - November 16, 2011
COWEN PRIME SERVICES LLC
September 15, 2009 - February 17, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 17, 2007 - March 20, 2008
PRESTIGE FINANCIAL CENTER, INC.
October 27, 2003 - January 18, 2007
SLOAN SECURITIES CORP.
February 1, 2002 - October 22, 2003
MMA SECURITIES LLC
May 24, 2001 - February 5, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 26, 1999 - May 23, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 16, 1995 - April 21, 1999
CITIGROUP GLOBAL MARKETS INC.
September 15, 1992 - October 26, 1995
CIBC WORLD MARKETS CORP.
June 4, 1990 - August 27, 1992
UBS FINANCIAL SERVICES INC.
February 27, 1989 - June 20, 1990
LEHMAN BROTHERS INC.
December 22, 1987 - March 15, 1989
CITIGROUP GLOBAL MARKETS 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
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
