Sidney Abramowitz
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.
Sidney Abramowitz, who also goes by Allen Abramowitz, Sidney Allen Abramowitz, Yitzchok Abramowitz, was a registered financial professional .
Sidney is a previously registered financial professional and started their career in finance in 1992. Sidney had worked at 8 firms and has passed the Series 65, 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
December 17, 2008 - September 8, 2011
SECURITIES AMERICA, INC.
November 26, 2008 - December 26, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
November 21, 2008 - December 26, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
March 9, 2006 - December 1, 2008
GARY GOLDBERG & CO., INC.
February 9, 2006 - December 1, 2008
GARY GOLDBERG PLANNING SERVICES INC
June 30, 2005 - March 8, 2006
ASSET & FINANCIAL PLANNING, LTD
June 23, 2005 - March 8, 2006
PRIME CAPITAL SERVICES, INC.
February 22, 1996 - June 21, 2005
INVESTMENT ADVISORS & CONSULTANTS, INC.
April 7, 1992 - November 15, 1994
INVESTMENT ADVISORS & CONSULTANTS, INC.
February 7, 1992 - February 28, 1992
STRATTON OAKMONT 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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
