Shlomo Sharbat
Professional summary
Shlomo Sharbat was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Shlomo is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Shlomo had worked at 15 firms, which includes VFINANCE INVESTMENTS INC, GLB TRADING INC, GUNNALLEN FINANCIAL INC, AXIOM CAPITAL MANAGEMENT INC., FIRST MONTAUK SECURITIES CORP., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, JWGENESIS SECURITIES INC., WHITEHALL WELLINGTON INVESTMENTS INC., STUART COLEMAN & CO. INC., HAMPSHIRE SECURITIES CORPORATION, RICKEL & ASSOCIATES INC., GILFORD SECURITIES INCORPORATED, D. H. BLAIR & CO. INC., BLUESTONE CAPITAL CORP., UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2008 - July 9, 2008
VFINANCE INVESTMENTS, INC
January 22, 2007 - October 30, 2007
GLB TRADING, INC
April 29, 2005 - September 7, 2006
GUNNALLEN FINANCIAL, INC
January 10, 2003 - July 29, 2003
AXIOM CAPITAL MANAGEMENT, INC.
March 19, 2002 - November 5, 2002
FIRST MONTAUK SECURITIES CORP.
January 2, 2001 - March 12, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 29, 1998 - January 2, 2001
JWGENESIS SECURITIES, INC.
June 17, 1998 - November 3, 1998
WHITEHALL WELLINGTON INVESTMENTS, INC.
February 12, 1998 - June 12, 1998
STUART, COLEMAN & CO., INC.
July 21, 1997 - January 20, 1998
HAMPSHIRE SECURITIES CORPORATION
March 6, 1997 - July 7, 1997
RICKEL & ASSOCIATES, INC.
December 11, 1995 - June 5, 1997
GILFORD SECURITIES INCORPORATED
October 21, 1994 - December 12, 1995
D. H. BLAIR & CO., INC.
September 6, 1994 - October 17, 1994
BLUESTONE CAPITAL CORP.
April 7, 1994 - July 25, 1994
UBS FINANCIAL SERVICES 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
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
Red Flags
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