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SH

Shawn F. Haber

Some features on this profile are disabled
CRD#: 2545987
SH

Professional summary

Shawn Farren Haber was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Shawn is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Shawn had worked at 8 firms, which includes JOSEPH STEVENS & CO. INC., QUEST CAPITAL STRATEGIES INC., RAYMOND JAMES FINANCIAL SERVICES INC., NATIONAL SECURITIES CORPORATION, FIRST MADISON SECURITIES INC., JOSEPHTHAL & CO. INC., D. H. BLAIR & CO. INC., DUKE & 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

May 23, 2003 - May 18, 2006

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
NEW YORK, NY
Past

November 13, 2001 - December 19, 2001

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

January 4, 2001 - July 19, 2001

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

September 19, 2000 - December 31, 2000

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

November 19, 1999 - September 15, 2000

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

December 14, 1998 - October 21, 1999

FIRST MADISON SECURITIES, INC.

BD
CRD#: 38820
BOCA RATON, FL
Past

August 27, 1998 - September 25, 1998

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

July 24, 1997 - July 2, 1998

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

June 15, 1995 - July 28, 1997

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
NEW YORK, NY
Past

November 15, 1994 - June 12, 1995

DUKE & CO., INC.

BD
CRD#: 8035
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
RR
Series 63
Date: 11/22/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/14/1994
General Securities Representative Examination

Current Firm

JS
JOSEPH STEVENS & CO., INC.
FABIO MIGLIACCIO | JOSEPH STEVENS & COMPANY, L.P. | JOSEPH STEVENS & COMPANY, INC. | JOSEPH STEVENS & CO., INC.

CRD#: 35459 / SEC#: , 8-46901

BD
Terminated by SEC on 08/22/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/12/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MARKOWITZ, STEVEN ALANPRESIDENT/CHAIRMAN1299315
SORBARA, JOSEPHCHIEF EXECUTIVE OFFICER1001403
CHUDNOFF, LINDA EPPOLITOCHIEF COMPLIANCE OFFICER AND SENIOR REGISTERED OPTIONS PRINCIPAL1332998
TINGOLI, MARIACHIEF FINANCIAL OFFICER1598620

Disclosures

Regulatory Event7
Arbitration10

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

JOSEPH STEVENS & CO., INC.

CRD#: 35459

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