Abed W. Lulu
Professional summary
Abed William Lulu was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Abed is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Abed had worked at 21 firms, which includes WORDEN CAPITAL MANAGEMENT LLC, ROCKWELL GLOBAL CAPITAL LLC, LAIDLAW & COMPANY (UK) LTD., GLOBAL ARENA CAPITAL CORP, B.B. GRAHAM & COMPANY INC., LIBERTY PARTNERS FINANCIAL SERVICES LLC, CLARK DODGE & CO. INC., BROOKVILLE CAPITAL PARTNERS, BENSON YORK GROUP INC., S.W. BACH & COMPANY, LH ROSS & COMPANY INC., CONTINENTAL BROKER-DEALER CORP., HARRISON SECURITIES INC., TASIN & COMPANY INC., CAMBRIDGE CAPITAL LLC, JOSEPH STEVENS & CO. INC., SCHNEIDER SECURITIES INC., D.L. CROMWELL INVESTMENTS INC., DUKE & CO. INC., ROYCE INVESTMENT GROUP INC., RICKEL & ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2016 - August 18, 2016
WORDEN CAPITAL MANAGEMENT LLC
February 17, 2015 - November 12, 2015
ROCKWELL GLOBAL CAPITAL LLC
November 15, 2013 - February 17, 2015
LAIDLAW & COMPANY (UK) LTD.
August 9, 2013 - November 11, 2013
GLOBAL ARENA CAPITAL CORP
May 31, 2012 - October 8, 2012
B.B. GRAHAM & COMPANY, INC.
January 3, 2011 - May 31, 2012
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
May 6, 2009 - January 3, 2011
GLOBAL ARENA CAPITAL CORP
December 17, 2007 - June 1, 2009
CLARK DODGE & CO., INC.
July 25, 2006 - December 11, 2007
BROOKVILLE CAPITAL PARTNERS
November 24, 2004 - April 6, 2006
BENSON YORK GROUP, INC.
August 17, 2004 - November 24, 2004
S.W. BACH & COMPANY
January 9, 2004 - August 11, 2004
LH ROSS & COMPANY, INC.
April 21, 2003 - January 21, 2004
CONTINENTAL BROKER-DEALER CORP.
February 6, 2001 - May 20, 2003
HARRISON SECURITIES, INC.
April 1, 1999 - February 9, 2001
TASIN & COMPANY, INC.
March 8, 1999 - March 30, 1999
TASIN & COMPANY, INC.
February 22, 1999 - March 22, 1999
CAMBRIDGE CAPITAL, LLC
January 27, 1999 - February 25, 1999
JOSEPH STEVENS & CO., INC.
October 12, 1998 - November 25, 1998
SCHNEIDER SECURITIES, INC.
February 23, 1998 - October 1, 1998
D.L. CROMWELL INVESTMENTS, INC.
September 23, 1997 - February 25, 1998
DUKE & CO., INC.
July 8, 1997 - September 4, 1997
ROYCE INVESTMENT GROUP, INC.
June 3, 1997 - July 11, 1997
RICKEL & ASSOCIATES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WORDEN CAPITAL MANAGEMENT LLC
CRD#: 148366 / SEC#: , 8-68010
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 12 |
Red Flags
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