Saul D. Federman
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.
Saul Daniel Federman, who also goes by Saul D Federman, was a registered financial professional .
Saul is a previously registered financial professional and started their career in finance in 1967. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2001 - January 15, 2002
JOSEPHTHAL & CO., INC.
August 6, 2001 - May 16, 2012
OPPENHEIMER & CO. INC.
August 7, 1987 - August 23, 2001
GRUNTAL & CO., L.L.C.
September 1, 1983 - July 25, 1987
ADVEST, INC.
June 13, 1983 - August 26, 1983
JII SECURITIES INC.
July 21, 1968 - June 10, 1983
THOMSON MCKINNON SECURITIES INC.
February 9, 1967 - June 5, 1974
HALLE & STIEGLITZ
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
Series 15
Date: 11/9/1982
Foreign Currency Options ExaminationSeries 5
Date: 11/18/1981
Interest Rate Options ExaminationSeries 000
Date: 7/21/1968
General Securities Principal ExaminationSeries 1
Date: 7/17/1961
Registered Representative ExaminationSeries 00
Date: 11/15/1971
General Securities Principal ExaminationSeries 12
Date: 4/14/1967
NYSE Branch Manager ExaminationCurrent Firm
JOSEPHTHAL & CO., INC.
CRD#: 3227 / SEC#: , 8-5651
Contact information
Documents
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 | 32 |
| Arbitration | 12 |
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.
