Gloster K. Sonia
Professional summary
Gloster Knox Sonia was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gloster is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Gloster had worked at 5 firms, which includes STRATEGIC ASSETS INC., JACKSON SHANKLIN & SONIA SECURITIES LLC, BOLTON GLOBAL CAPITAL, CAPITAL ONE INVESTMENTS LLC, MCLAUGHLIN PIVEN VOGEL 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 26, 2000 - October 2, 2001
STRATEGIC ASSETS INC.
December 3, 1999 - March 27, 2000
JACKSON SHANKLIN & SONIA SECURITIES, LLC
August 15, 1997 - November 3, 1999
BOLTON GLOBAL CAPITAL
June 25, 1993 - August 19, 1997
CAPITAL ONE INVESTMENTS, LLC
February 13, 1991 - September 23, 1992
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
STRATEGIC ASSETS INC.
CRD#: 37590 / SEC#: , 8-47815
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APPEL, RANDALL STEPHEN | PRESIDENT | |
| APPEL, RANDALL STEPHEN | PRESIDENT | 737169 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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