Jeffrey J. Haddad
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.
Jeffrey Joseph Haddad, who also goes by Jeffrey Jos Haddad, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1992. Jeffrey had worked at 16 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2011 - January 5, 2023
THINKEQUITY LLC
January 9, 2008 - February 11, 2009
WINDSOR STREET CAPITAL, LP
August 7, 2007 - December 5, 2007
MAXIMUM FINANCIAL INVESTMENT GROUP, INC.
October 31, 2006 - July 26, 2007
PRESTIGE FINANCIAL CENTER, INC.
August 16, 2006 - November 3, 2006
GREAT EASTERN SECURITIES, INC.
November 20, 2002 - June 9, 2006
GRANTA CAPITAL GROUP LLC
August 20, 2001 - November 21, 2002
THE THORNWATER COMPANY, L.P.
December 18, 2000 - February 16, 2001
FIRST MONTAUK SECURITIES CORP.
January 26, 1999 - December 6, 2000
COLEMAN & COMPANY SECURITIES, INC.
November 25, 1996 - December 9, 1998
DALTON KENT SECURITIES GROUP, INC.
October 23, 1996 - November 20, 1996
ROYAL HUTTON SECURITIES CORP.
July 12, 1996 - October 15, 1996
TOLUCA PACIFIC SECURITIES CORP.
January 23, 1996 - June 27, 1996
INVESTORS ASSOCIATES, INC.
August 26, 1993 - January 17, 1995
HANOVER, STERLING & COMPANY LTD.
March 5, 1993 - August 17, 1993
BEACON SECURITIES, INC.
October 8, 1992 - February 4, 1993
D. H. BLAIR & 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
THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| HILDER, DAVID BRUCE | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 2178978 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
