AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KS

Kristian F. Sierp

Some features on this profile are disabled
CRD#: 2428092
KS

Professional summary

Kristian F Sierp 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.

Kristian is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Kristian had worked at 11 firms, which includes LH ROSS & COMPANY INC., FLORIDA DISCOUNT SECURITIES INC., JVB FINANCIAL GROUP LLC, INTL CUSTODY & CLEARING SOLUTIONS INC., JOSEPH CHARLES & ASSOC. INC., GKN SECURITIES CORP., MEYERS POLLOCK ROBBINS INC., MONITOR INVESTMENT GROUP INC., BARRON CHASE SECURITIES INC., H.J. MEYERS & CO. INC., GRUNTAL & CO. L.L.C..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kris Sierp | Kristian Sierp

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

October 8, 2002 - June 25, 2004

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

August 16, 2001 - October 1, 2002

FLORIDA DISCOUNT SECURITIES, INC.

BD
CRD#: 44859
BOCA RATON, FL
Past

June 12, 2001 - September 12, 2001

JVB FINANCIAL GROUP, LLC

BD
CRD#: 104412
BOCA RATON, FL
Past

November 27, 2000 - July 2, 2001

INTL CUSTODY & CLEARING SOLUTIONS INC.

BD
CRD#: 23952
BIRMINGHAM, AL
Past

September 18, 1997 - November 17, 2000

JOSEPH CHARLES & ASSOC., INC.

BD
CRD#: 3949
BOCA RATON, FL
Past

October 1, 1996 - September 19, 1997

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

July 24, 1996 - October 7, 1996

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
NEW YORK, NY
Past

October 5, 1995 - July 25, 1996

MONITOR INVESTMENT GROUP, INC.

BD
CRD#: 31007
Past

February 27, 1995 - September 18, 1995

BARRON CHASE SECURITIES, INC.

BD
CRD#: 18969
BOCA RATON, FL
Past

September 1, 1994 - March 2, 1995

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY
Past

August 22, 1994 - September 6, 1994

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
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: 9/14/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/1994
General Securities Representative Examination

Current Firm

LR
LH ROSS & COMPANY, INC.
LH ROSS & COMPANY, INC.

CRD#: 37920 / SEC#: , 8-47990

BD
Cancelled by SEC on 10/04/2006
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
New York since 11/03/1994
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LH ROSS HOLDING CORP.PARENT COMPANY
MICHELIN, FRANKLYN ROSSPRESIDENT2459180

Disclosures

Regulatory Event31
Arbitration15

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

LH ROSS & COMPANY, INC.

CRD#: 37920

TRUST BUT VERIFY

Monitor Kristian Sierp

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.