Wayne H. Lieberz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Wayne Hubert Lieberz, who also goes by Wayne H Lieberz, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1995. Wayne had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2007 - December 11, 2007
VFINANCE INVESTMENTS, INC
June 6, 2007 - July 30, 2007
PAULSON INVESTMENT COMPANY LLC
March 16, 2007 - May 25, 2007
AEGIS CAPITAL CORP.
September 22, 2006 - March 29, 2007
MAXIM GROUP LLC
February 3, 2005 - September 27, 2006
S.W. BACH & COMPANY
June 22, 2004 - March 2, 2005
GUNNALLEN FINANCIAL, INC
January 2, 2002 - June 14, 2004
OPPENHEIMER & CO. INC.
January 11, 1999 - January 2, 2002
PRIME CHARTER LTD.
June 8, 1995 - October 20, 1998
BARINGTON CAPITAL GROUP, L.P.
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
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
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.
