Ezzat T. Ishak
Professional summary
Ezzat Tom Ishak was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ezzat is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Ezzat had worked at 8 firms, which includes COLEMAN & COMPANY SECURITIES INC., WEST AMERICA SECURITIES CORP, ROAN CAPITAL PARTNERS L.P., STATE CAPITAL MARKETS CORPORATION, NICHOLS SAFINA LERNER & CO. INC., GRUNTAL & CO. L.L.C., BERKELEY SECURITIES CORPORATION, PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 1997 - November 6, 1998
COLEMAN & COMPANY SECURITIES, INC.
May 8, 1997 - August 18, 1997
WEST AMERICA SECURITIES CORP
November 29, 1996 - May 15, 1997
ROAN CAPITAL PARTNERS L.P.
January 12, 1996 - September 30, 1996
STATE CAPITAL MARKETS CORPORATION
March 21, 1994 - March 21, 1995
NICHOLS, SAFINA, LERNER & CO. INC.
September 25, 1993 - March 29, 1994
GRUNTAL & CO., L.L.C.
February 11, 1993 - September 1, 1993
BERKELEY SECURITIES CORPORATION
September 24, 1992 - February 11, 1993
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COLEMAN & COMPANY SECURITIES, INC.
CRD#: 1486 / SEC#: , 8-2575
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN EAGLE FUNDING | SHAREHOLDER | |
| COLEMAN HOLDING CORPORATION | SHAREHOLDER | |
| SHAPIRO, ROBERT IRA | INTERIM CEO & PRESIDENT | 420115 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 9 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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