Scott M. Schoenbauer
Professional summary
Scott Michael Schoenbauer was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scott is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Scott had worked at 7 firms, which includes ON-SITE TRADING INC., FIRST COLONIAL SECURITIES, W.J. NOLAN & COMPANY INC., MORGAN TAYLOR & ASSOCIATES INC., MORGAN GRANT CAPITAL CORP., ASH FINANCIAL CORP., ROYCE INVESTMENT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2000 - June 22, 2001
ON-SITE TRADING, INC.
October 20, 1998 - November 29, 1999
FIRST COLONIAL SECURITIES
January 21, 1998 - March 26, 1998
W.J. NOLAN & COMPANY, INC.
June 30, 1997 - January 26, 1998
MORGAN, TAYLOR & ASSOCIATES, INC.
June 9, 1997 - July 3, 1997
MORGAN GRANT CAPITAL CORP.
April 23, 1997 - July 2, 1997
ASH FINANCIAL CORP.
July 21, 1995 - May 5, 1997
ROYCE INVESTMENT GROUP, 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
ON-SITE TRADING, INC.
CRD#: 30271 / SEC#: , 8-47104
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ON-SITE ENERGY SYSTEMS, INC. | SHAREHOLDER | |
| STIEVELMAN, JACK | SHAREHOLDER | 2571504 |
| MEDNICK, GARY DAVID | PRESIDENT-CEO | 735786 |
| LIPSKY, ROBERT MARK | SHAREHOLDER | 2111939 |
| BASKIND, ROBERT P | SHAREHOLDER | |
| BERGLEITNER, GEORGE CHARLES III | SROP/CROP | 1247338 |
| BOCCIO, FRANK LOUIS | CFO | 24461 |
| JAHRE, HOWARD GORDON | CHAIRMAN | 2238671 |
| NWAIGWE, LINUS NKEM | CHEIF COMPLIANCE OFFICER | 2613032 |
| STONE, ARTHUR | COMPLIANCE OFFICER | 437238 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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