Yan Dikshteyn
Professional summary
Yan Dikshteyn 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.
Yan is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Yan had worked at 4 firms, which includes W.J. NOLAN & COMPANY INC., MEYERS POLLOCK ROBBINS INC., WINDSOR BENNETT CAPITAL GROUP CORP., BARRETT DAY SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 1997 - December 17, 1997
W.J. NOLAN & COMPANY, INC.
January 19, 1996 - May 30, 1997
MEYERS POLLOCK ROBBINS, INC.
May 1, 1995 - January 23, 1996
WINDSOR BENNETT CAPITAL GROUP CORP.
September 8, 1994 - March 10, 1995
BARRETT DAY SECURITIES, INC.
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
W.J. NOLAN & COMPANY, INC.
CRD#: 16465 / SEC#: , 8-33890
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NOLAN, WILLIAM JOHN | PRESIDENT/ TREASURER/ DIRECTOR/ SHAREHOLDER/MSRB PRINICIPAL | 730316 |
| BELMONTE, ANTHONY FRANK | SHAREHOLDER | 3250612 |
| CHIRONIS, PAUL GEORGE | SHAREHOLDER | 1057611 |
| KEENAN, IVETTE | CORPORATE SECRETARY/SHAREHOLDER/DIRECTOR | 1099345 |
| AGTUCA, ANELYN AGUILLO | FINOP | 2745961 |
| AULD, JERRY | BRANCH OFFICE MANAGER/CROP/SROP/DIRECTOR OF COMPLIANCE | 2489295 |
| BRICKNER, WARD RUSSELL | TRADING DESK PRINCIPAL/ SUPERVISOR | 1434842 |
| MAKSUDIAN, WILLIAM | SHAREHOLDER | 1465396 |
| ORLANSKY, AHARON | SUPERVISORY ANALYST | 1247171 |
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 2 |
Red Flags
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