Jeffrey J. Pomeranz
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 James Pomeranz was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1992. Jeffrey had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 53 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
February 7, 2005 - April 20, 2012
LEGEND MERCHANT GROUP, INC.
June 9, 2004 - April 20, 2012
LEGEND MERCHANT GROUP, INC.
March 18, 2003 - June 17, 2004
CAPSTONE INVESTMENTS
January 3, 1997 - December 31, 2002
HOTOVEC, POMERANZ & CO., LLC
September 16, 1996 - August 21, 1997
FIRST ALLIED SECURITIES, INC.
April 25, 1994 - September 10, 1996
ROUND HILL SECURITIES, INC.
July 31, 1993 - May 9, 1994
CITIGROUP GLOBAL MARKETS INC.
November 2, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
February 20, 1992 - November 9, 1992
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, 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
LEGEND MERCHANT GROUP, INC.
CRD#: 5155 / SEC#: 801-63525, 8-21703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEDGE END CORP. | OWNER | |
| UNSWORTH, DAVID WOODS JR | CHAIRMAN, CCO, CEO & PRESIDENT | 1609040 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 4 |
| Judgment/Lien | 4 |
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.
