Saul Daniel Federman
Professional Summary
Saul Daniel Federman, who also goes by Saul D Federman, was a registered financial advisor. Saul was a previously registered financial professional and started their career in finance 1967 - 2002. Saul had worked at 7 firms and has passed the Series 63, Series 15, Series 5, Series 000, Series 1, Series 4, Series 00 and Series 12 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Saul D Federman
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
65 years in the financial services industry
Current & Past Employments
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Current Firm
JOSEPHTHAL & CO INC | ROSENKRANTZ, EHRENKRANTZ, LYON & ROSS INCORPORATED | ROSENKRANTZ LYON & ROSS INCORPORATED | JOSEPHTHAL LYON & ROSS INCORPORATED | JOSEPHTHAL & CO., INC.
Contact Information
Established
New York since 06/20/1956Firm Type
CorporationFiscal Year End
MarchDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHTHAL CAPITAL GROUP, INC. | PARENT | — |
| AGOSTA, SALVATORE FRANK | CHIEF FINANCIAL OFFICER | 1253738 |
| FICHTNER, HENRY ARTHUR | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | 1327009 |
| FITZGERALD, PAUL HENRY | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | 812775 |
| HURLEY, KEVIN BRADY | COMPLIANCE DIRECTOR | 1293748 |
| KRONENBERG, DAVID HIRSCH | CHIEF ADMINISTRATIVE OFFICER | 1799665 |
| MATYCKAS, EDWARD STANLEY | CROP/SROP | 1405961 |
| MCCABE, DONALD GERARD | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | 1367480 |
| MCNAMARA, DENNIS PATRICK | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | 2938486 |
Disclosures
Regulatory Event
32Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Nov 1982Series 5 — Interest Rate Options Examination
Passed Nov 1981Series 000 — General Securities Principal Examination
Passed Jul 1968Series 1 — Registered Representative Examination
Passed Jul 1961Series 00 — General Securities Principal Examination
Passed Nov 1971Series 12 — NYSE Branch Manager Examination
Passed Apr 1967Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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