Salvatore L. Esposito
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2000 - October 13, 2000
LH ROSS & COMPANY, INC.
October 19, 1998 - January 12, 1999
JOSEPH STEVENS & CO., INC.
April 29, 1998 - May 21, 1998
TARPON SCURRY INVESTMENTS, INC.
November 5, 1997 - December 4, 1998
ABBEY-ASHFORD SECURITIES, INC.
September 16, 1997 - October 8, 1997
TAJ GLOBAL EQUITIES, INC.
May 19, 1997 - September 20, 1997
MEYERS POLLOCK ROBBINS, INC.
March 22, 1996 - April 29, 1997
PACIFIC CORTEZ SECURITIES INCORPORATED
May 1, 1995 - October 17, 1995
THE BOSTON GROUP
December 23, 1994 - April 24, 1995
A.S. GOLDMEN & CO., 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
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
Red Flags
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