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DE

Dean A. Esposito

Some features on this profile are disabled
CRD#: 2303699
DE

Professional summary

Dean Anthony Esposito was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dean is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Dean had worked at 11 firms, which includes GLB TRADING INC, THE CAMELOT GROUP INC., BROCKINGTON SECURITIES INC., BROADBAND CAPITAL MANAGEMENT LLC, J.P. TURNER & COMPANY L.L.C., FIRST LIBERTY INVESTMENT GROUP INC., HUNTER WORLD MARKETS INC., TOLUCA PACIFIC SECURITIES CORP., JOSEPH STEVENS & CO. INC., A. T. BROD & CO. INC., ROBERT TODD FINANCIAL CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 13, 2004 - May 20, 2005

GLB TRADING, INC

BD
CRD#: 125363
CHICAGO, IL
Past

March 11, 2003 - August 12, 2003

THE CAMELOT GROUP, INC.

BD
CRD#: 31091
FT LAUDERDALE, FL
Past

October 4, 2002 - January 15, 2003

BROCKINGTON SECURITIES, INC.

BD
CRD#: 37438
RONKONKOMA, NY
Past

April 10, 2001 - August 3, 2001

BROADBAND CAPITAL MANAGEMENT, LLC

BD
CRD#: 48001
NEW YORK, NY
Past

March 8, 2000 - May 1, 2001

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

June 25, 1997 - June 25, 1998

FIRST LIBERTY INVESTMENT GROUP, INC.

BD
CRD#: 3536
PHILADELPHIA, PA
Past

March 18, 1997 - June 23, 1997

HUNTER WORLD MARKETS, INC.

BD
CRD#: 38755
BEVERLY HILLS, CA
Past

July 25, 1996 - January 31, 1997

TOLUCA PACIFIC SECURITIES CORP.

BD
CRD#: 13875
BURBANK, CA
Past

August 23, 1995 - August 2, 1996

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
BROOKLYN, NY
Past

December 9, 1994 - April 12, 1995

A. T. BROD & CO. INC.

BD
CRD#: 1319
CLEVELAND, OH
Past

July 15, 1993 - December 15, 1994

ROBERT TODD FINANCIAL CORP.

BD
CRD#: 7423
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/22/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/14/1993
General Securities Representative Examination

Current Firm

GT
GLB TRADING, INC
GLB TRADING, INC | GLOBALVEST GROUP, INC. | GLB TRADING, INC.

CRD#: 125363 / SEC#: , 8-65790

BD
Revoked by SEC on 10/01/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 06/17/2002
Firm type
Corporation
Fiscal year end
November
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LECHMAN, ROBERT TRUST 08/14/06OWNER
LECHMAN, ROBERT ALLENPRESIDENT, CEO, FINOP, CFO & CCO1045237

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

GLB TRADING, INC

CRD#: 125363

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