Miroslaw Szocki
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.
Miroslaw Szocki was a registered financial professional .
Miroslaw is a previously registered financial professional and started their career in finance in 1989. Miroslaw had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 1992 - May 7, 1993
LEGEND MERCHANT GROUP, INC.
August 2, 1991 - April 14, 1992
INVESTACORP, INC.
November 8, 1990 - August 8, 1991
CASTLE SECURITIES CORP.
April 18, 1989 - March 14, 1990
BLINDER, ROBINSON & CO., 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
LEGEND MERCHANT GROUP, INC.
CRD#: 5155 / SEC#: 801-63525, 8-21703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEDGE END CORP. | OWNER | |
| UNSWORTH, DAVID WOODS JR | CHAIRMAN, CCO, CEO & PRESIDENT | 1609040 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 4 |
| Judgment/Lien | 4 |
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.
