Lyle A. Rosenbaum
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.
Lyle Andrew Rosenbaum was a registered financial professional .
Lyle is a previously registered financial professional and started their career in finance in 1991. Lyle had worked at 17 firms and has passed the Series 63, Series 7 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
November 6, 2009 - May 6, 2010
JESUP & LAMONT SECURITIES CORP
June 4, 2009 - November 5, 2009
M BARC INVESTMENT GROUP, INC.
May 7, 2009 - June 17, 2009
DAWSON JAMES SECURITIES, INC.
February 23, 2009 - April 30, 2009
CHICAGO INVESTMENT GROUP, LLC
January 17, 2007 - March 24, 2009
WESTPARK CAPITAL, INC.
May 5, 2006 - January 16, 2007
NEWBRIDGE SECURITIES CORPORATION
January 14, 2005 - December 14, 2005
J.P. TURNER & COMPANY, L.L.C.
January 3, 2005 - January 19, 2005
WESTPARK CAPITAL, INC.
February 11, 2004 - January 11, 2005
CARDINAL CAPITAL MANAGEMENT, INC.
August 21, 2001 - May 22, 2002
J.P. TURNER & COMPANY, L.L.C.
July 6, 2001 - August 7, 2001
CAPITAL GROWTH FINANCIAL, LLC
January 31, 2001 - July 6, 2001
DALTON KENT SECURITIES GROUP, INC.
November 3, 2000 - February 14, 2001
JOSEPHTHAL & CO., INC.
February 3, 1999 - October 24, 2000
TRADE.COM ONLINE SECURITIES, INC.
July 22, 1998 - January 29, 1999
LADENBURG THALMANN & CO. INC.
January 9, 1998 - June 5, 1998
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 18, 1996 - December 10, 1997
GRUNTAL & CO., L.L.C.
February 28, 1996 - October 14, 1996
STATE CAPITAL MARKETS CORPORATION
December 5, 1991 - February 9, 1996
GRUNTAL & CO., L.L.C.
November 1, 1991 - November 18, 1991
CHATFIELD DEAN & 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
JESUP & LAMONT SECURITIES CORP
CRD#: 39056 / SEC#: , 8-48893
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JESUP AND LAMONT, INC | OWNER | |
| HOLUB, WILLIAM C | FINOP, CFO, COO, CCO | 2680290 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
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.
