Joseph (. Schnaier
Professional summary
Joseph (nmn) Schnaier was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Joseph had worked at 10 firms, which includes PRESTIGE FINANCIAL CENTER INC., SLOAN SECURITIES CORP., AURA FINANCIAL SERVICES INC., FIRST MONTAUK SECURITIES CORP., GLENN MICHAEL FINANCIAL INC., GRAYSON FINANCIAL LLC, WINDSOR STREET CAPITAL LP, SUNPOINT SECURITIES INC., INVESTORS ASSOCIATES INC., STERLING FOSTER & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2006 - January 2, 2008
PRESTIGE FINANCIAL CENTER, INC.
July 28, 2005 - September 1, 2005
SLOAN SECURITIES CORP.
July 13, 2004 - July 6, 2005
AURA FINANCIAL SERVICES, INC.
November 6, 2002 - July 7, 2004
FIRST MONTAUK SECURITIES CORP.
December 7, 2001 - October 29, 2002
GLENN MICHAEL FINANCIAL, INC.
March 20, 2001 - November 6, 2001
GRAYSON FINANCIAL LLC
November 19, 1998 - March 23, 2001
WINDSOR STREET CAPITAL, LP
February 2, 1998 - May 27, 1998
SUNPOINT SECURITIES, INC.
December 9, 1996 - June 4, 1997
INVESTORS ASSOCIATES, INC.
November 16, 1995 - December 9, 1996
STERLING FOSTER & COMPANY, 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
PRESTIGE FINANCIAL CENTER, INC.
CRD#: 30407 / SEC#: , 8-44919
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT PRESTIGE, LLC | OWNER | |
| KIRSHBAUM, LAWRENCE GARY | PRESIDENT/CHIEF FINANCIAL OFFICER/FINOP/CCO | 270856 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
Red Flags
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