Isaac L. Solomon
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.
Isaac Louis Solomon, who also goes by Lou Solomon, was a registered financial professional .
Isaac is a previously registered financial professional and started their career in finance in 1990. Isaac had worked at 10 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2012 - March 15, 2013
FIRST CANTERBURY SECURITIES, INC.
April 22, 2009 - December 31, 2011
SOURCE CAPITAL GROUP, INC.
January 2, 2009 - December 31, 2011
SOURCE CAPITAL GROUP, INC.
August 15, 2008 - December 31, 2008
J. W. COLE ADVISORS, INC.
August 11, 2008 - December 31, 2008
J.W. COLE FINANCIAL, INC.
January 26, 2006 - August 12, 2008
INVESTORS CAPITAL CORP.
May 4, 2005 - August 12, 2008
INVESTORS CAPITAL CORP.
July 1, 2003 - May 9, 2005
BROOKSTREET SECURITIES CORPORATION
June 5, 2003 - May 9, 2005
BROOKSTREET SECURITIES CORPORATION
July 12, 2000 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 7, 2000 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 18, 1993 - June 20, 2000
UBS FINANCIAL SERVICES INC.
November 6, 1992 - December 21, 1992
A. G. EDWARDS & SONS, INC.
January 2, 1990 - August 15, 1990
OFG FINANCIAL SERVICES, 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
FIRST CANTERBURY SECURITIES, INC.
CRD#: 13121 / SEC#: , 8-29446
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JENNISON, RAYMOND ELLIS JR | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | 867502 |
Disclosures
| Regulatory Event | 5 |
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.
