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SE

Salvatore L. Esposito

Some features on this profile are disabled
CRD#: 2534742
SE

Professional summary

Salvatore Louis Esposito was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Salvatore is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Salvatore had worked at 9 firms, which includes LH ROSS & COMPANY INC., JOSEPH STEVENS & CO. INC., TARPON SCURRY INVESTMENTS INC., ABBEY-ASHFORD SECURITIES INC., TAJ GLOBAL EQUITIES INC., MEYERS POLLOCK ROBBINS INC., PACIFIC CORTEZ SECURITIES INCORPORATED, THE BOSTON GROUP, A.S. GOLDMEN & CO. INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Salvatore L Esposito

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

January 24, 2000 - October 13, 2000

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

October 19, 1998 - January 12, 1999

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
BROOKLYN, NY
Past

April 29, 1998 - May 21, 1998

TARPON SCURRY INVESTMENTS, INC.

BD
CRD#: 34635
NEW YORK, NY
Past

November 5, 1997 - December 4, 1998

ABBEY-ASHFORD SECURITIES, INC.

BD
CRD#: 17650
Past

September 16, 1997 - October 8, 1997

TAJ GLOBAL EQUITIES, INC.

BD
CRD#: 31768
TAMPA, FL
Past

May 19, 1997 - September 20, 1997

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
NEW YORK, NY
Past

March 22, 1996 - April 29, 1997

PACIFIC CORTEZ SECURITIES INCORPORATED

BD
CRD#: 24341
SAN DIEGO, CA
Past

May 1, 1995 - October 17, 1995

THE BOSTON GROUP

BD
CRD#: 37652
LOS ANGELES, CA
Past

December 23, 1994 - April 24, 1995

A.S. GOLDMEN & CO., INC.

BD
CRD#: 23180
RED BANK, NJ

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: 3/3/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/22/1994
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
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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

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