Shlomi S. Eplboim
Professional summary
Shlomi S Eplboim was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Shlomi is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Shlomi had worked at 8 firms, which includes BROOKSTONE SECURITIES INC., MAXXTRADE INC., GUNNALLEN FINANCIAL INC, J.P. TURNER & COMPANY L.L.C., FIRST MONTAUK SECURITIES CORP., PRUDENTIAL EQUITY GROUP LLC, UBS FINANCIAL SERVICES INC., MEYERS SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2011 - August 19, 2011
BROOKSTONE SECURITIES, INC.
March 23, 2009 - August 19, 2011
BROOKSTONE SECURITIES, INC.
September 28, 2006 - March 17, 2009
MAXXTRADE, INC.
February 18, 2005 - June 13, 2006
GUNNALLEN FINANCIAL, INC
October 25, 2004 - March 4, 2005
J.P. TURNER & COMPANY, L.L.C.
September 29, 2004 - September 30, 2004
J.P. TURNER & COMPANY, L.L.C.
October 3, 2001 - October 15, 2004
FIRST MONTAUK SECURITIES CORP.
September 20, 1999 - September 20, 2001
PRUDENTIAL EQUITY GROUP, LLC
October 28, 1997 - September 22, 1999
UBS FINANCIAL SERVICES INC.
February 6, 1995 - October 21, 1997
PRUDENTIAL EQUITY GROUP, LLC
November 18, 1993 - February 17, 1995
MEYERS SECURITIES CORPORATION
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
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
Red Flags
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