Adam S. Levy
Professional summary
Adam Scott Levy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Adam is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Adam had worked at 6 firms, which includes FIRST LIBERTY INVESTMENT GROUP INC., JOSEPH CHARLES & ASSOC. INC., CORTLANDT CAPITAL CORPORATION, MERIT CAPITAL ASSOCIATES INC., PARAGON CAPITAL MARKETS INC., GRUNTAL & CO. L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 1997 - January 5, 1998
FIRST LIBERTY INVESTMENT GROUP, INC.
May 13, 1997 - June 11, 1997
JOSEPH CHARLES & ASSOC., INC.
September 30, 1996 - April 17, 1997
CORTLANDT CAPITAL CORPORATION
May 9, 1996 - August 19, 1996
MERIT CAPITAL ASSOCIATES, INC.
November 30, 1995 - May 3, 1996
PARAGON CAPITAL MARKETS, INC.
February 25, 1994 - November 1, 1995
GRUNTAL & CO., L.L.C.
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
FIRST LIBERTY INVESTMENT GROUP, INC.
CRD#: 3536 / SEC#: , 8-6824
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMONWEALTH INV. GRP | OWNER | |
| EMINENTE, CHRISTIAN LUCIANO | EXEC. VP | 2109308 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 10 |
Red Flags
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