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VL

Victor Labi

Some features on this profile are disabled
CRD#: 2460237
VL

Professional summary

Victor Labi 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.

Victor is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Victor had worked at 8 firms, which includes GROSSMAN & CO. LLC., D. WECKSTEIN & CO. INC., LEEB BROKERAGE SERVICES INC., CITIGROUP GLOBAL MARKETS INC., LADENBURG THALMANN & CO. INC., COLEMAN & COMPANY SECURITIES INC., FIRST UNITED EQUITIES CORPORATION, A. R. BARON & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

December 17, 2007 - May 29, 2009

GROSSMAN & CO., LLC.

BD
CRD#: 10222
NEW YORK, NY
Past

May 9, 2007 - October 10, 2007

D. WECKSTEIN & CO., INC.

BD
CRD#: 20338
NEW YORK, NY
Past

October 7, 2002 - May 16, 2007

LEEB BROKERAGE SERVICES, INC.

BD
CRD#: 46195
NEW YORK, NY
Past

December 22, 2000 - July 19, 2002

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 19, 1997 - December 18, 2000

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

February 20, 1997 - December 16, 1997

COLEMAN & COMPANY SECURITIES, INC.

BD
CRD#: 1486
NEW YORK, NY
Past

November 9, 1995 - December 2, 1996

FIRST UNITED EQUITIES CORPORATION

BD
CRD#: 36398
NEW YORK, NY
Past

July 19, 1994 - October 9, 1995

A. R. BARON & CO., INC.

BD
CRD#: 29285
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
IAR
Series 65
Date: 12/26/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/15/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/1994
General Securities Representative Examination

Current Firm

G&
GROSSMAN & CO., LLC.
GROSSMAN & CO. | GROSSMAN, DENNIS LEE | GROSSMAN & CO., LLC.

CRD#: 10222 / SEC#: , 8-26397

BD
Terminated by SEC on 02/15/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/16/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GROSSMAN, DENNIS LEEMANAGING MEMBER/CCO/FINOP870170

Disclosures

Regulatory Event1

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

GROSSMAN & CO., LLC.

CRD#: 10222

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