Jeffrey M. Esposito

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CRD#: 2683912

Professional summary

Jeffrey Marc Esposito SR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jeffrey is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Jeffrey had worked at 11 firms, which includes BARRON MOORE INC., WINDSOR STREET CAPITAL LP, HUNTER SCOTT FINANCIAL LLC., CONTINENTAL BROKER-DEALER CORP., NEWBRIDGE SECURITIES CORPORATION, LH ROSS & COMPANY INC., ITRADEDIRECT.COM CORP, LADENBURG CAPITAL MANAGEMENT INC., EISNER SECURITIES INC., SAPERSTON FINANCIAL INC., FOSTER JEFFRIES SECURITIES LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeffrey Marc Esposito

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

April 8, 2004 - November 29, 2004

BARRON MOORE, INC.

CRD#: 123521

DALLAS, TX

Past

January 15, 2004 - April 6, 2004

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

Past

December 16, 2003 - January 13, 2004

HUNTER SCOTT FINANCIAL LLC.

CRD#: 45559

DELRAY BH, FL

Past

October 28, 2003 - December 19, 2003

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

Past

October 9, 2003 - October 27, 2003

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

February 24, 2003 - October 14, 2003

LH ROSS & COMPANY, INC.

CRD#: 37920

BOCA RATON, FL

Past

November 16, 2000 - February 4, 2003

ITRADEDIRECT.COM CORP

CRD#: 18281

BOCA RATON, FL

Past

September 15, 1998 - December 14, 2000

LADENBURG CAPITAL MANAGEMENT INC.

CRD#: 14623

BETHPAGE, NY

Past

November 21, 1997 - January 28, 1998

EISNER SECURITIES, INC.

CRD#: 40585

ST. LOUIS, MO

Past

September 12, 1997 - November 3, 1997

SAPERSTON FINANCIAL INC.

CRD#: 27863

BUFFALO, NY

Past

March 5, 1996 - August 4, 1997

FOSTER JEFFRIES SECURITIES, LLC

CRD#: 30144

WESTBURY, NY

Past

November 24, 1995 - May 24, 1996

LADENBURG CAPITAL MANAGEMENT INC.

CRD#: 14623

BETHPAGE, 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

Series 63

Date: 12/5/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/22/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/11/2002

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/4/1996

General Securities Principal Examination

Current Firm

BARRON MOORE, INC.

BARRON MOORE, INC. | GREAT SOUTHWEST CAPITAL, L.P. | GREAT SOUTHWEST CAPITAL, INC.

CRD#: 123521 / SEC#: , 8-65589

Terminated by SEC on 11/25/2008

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Contact information

Main Address

Mailing Address

Phone number

Established

Texas since 04/30/2003

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
BARRON MOORE HOLDINGS, INC.	OWNER/HOLDING COMPANY
MOORE, KATHERINE ANN	PRESIDENT, CEO & CFO	1342145

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Jeffrey M. Esposito

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WINDSOR STREET CAPITAL, LP

HUNTER SCOTT FINANCIAL LLC.

CONTINENTAL BROKER-DEALER CORP.

NEWBRIDGE SECURITIES CORPORATION

LH ROSS & COMPANY, INC.

ITRADEDIRECT.COM CORP

LADENBURG CAPITAL MANAGEMENT INC.

EISNER SECURITIES, INC.

SAPERSTON FINANCIAL INC.

FOSTER JEFFRIES SECURITIES, LLC

LADENBURG CAPITAL MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/5/1995

Series 7

Date: 11/22/1995

Series 4

Date: 2/11/2002

Series 24

Date: 11/4/1996

Current Firm

BARRON MOORE, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BARRON MOORE, INC.

TRUST BUT VERIFY

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