Craig R. Sarnoff
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.
Craig Roy Sarnoff, who also goes by Craig Sarnoff, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1993. Craig had worked at 9 firms and has passed the 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
June 16, 2015 - November 19, 2015
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.
June 19, 2012 - July 23, 2013
CANACCORD GENUITY LLC
March 26, 2012 - March 29, 2012
CANACCORD GENUITY LLC
November 15, 2011 - September 27, 2012
CANACCORD GENUITY SECURITIES LLC
February 29, 2008 - July 29, 2011
RBC CAPITAL MARKETS, LLC
February 22, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
September 9, 1998 - October 31, 2005
J.P. MORGAN SECURITIES LLC
May 28, 1996 - February 2, 1998
TD AMERITRADE, INC.
October 26, 1994 - May 17, 1996
GRUNTAL & CO., L.L.C.
November 16, 1993 - October 25, 1994
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.
CRD#: 124902 / SEC#: 801-63079, 8-65737
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAYMEN, SHANNON | CEO/CFO/CCO/LIMITED PARTNER | 2099783 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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