Stuart T. Sugarman
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.
Stuart Thomas Sugarman was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1992. Stuart had worked at 11 firms and has passed the Series 63, SIE, Series 62, Series 7, Series 6 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
October 1, 2015 - November 1, 2019
RAINMAKER SECURITIES, LLC
December 20, 2012 - October 17, 2013
BRADLEY WOODS & CO. LTD.
July 13, 2011 - January 25, 2013
COHEN & COMPANY SECURITIES, LLC
November 3, 2010 - June 21, 2011
COHEN & COMPANY CAPITAL MARKETS, LLC
December 2, 2008 - November 3, 2010
COHEN & COMPANY SECURITIES, LLC
April 10, 2008 - October 6, 2008
SSC NY CORP.
May 2, 2006 - April 9, 2008
SSC NY CORP.
June 4, 1997 - July 2, 2001
FIRST INTERNATIONAL CAPITAL LTD.
July 7, 1995 - December 7, 1995
MARLEAU LEMIRE (U.S.A.), INC.
May 3, 1995 - May 26, 1995
AMERICORP SECURITIES, INC.
November 1, 1993 - September 7, 1994
INVESCO CAPITAL MARKETS, INC.
June 12, 1992 - March 18, 1993
ALLIANCEBERNSTEIN INVESTMENTS, 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
Series 62
Date: 5/1/2006
Corporate Securities Limited Representative ExaminationCurrent Firm
RAINMAKER SECURITIES, LLC
CRD#: 132995 / SEC#: , 8-66667
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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