Rhonda Fishman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rhonda Fishman was a registered financial professional .
Rhonda is a previously registered financial professional and started their career in finance in 1999. Rhonda had worked at 12 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - September 8, 2014
LAIDLAW & COMPANY (UK) LTD.
January 8, 2013 - January 31, 2014
WINDSOR STREET CAPITAL, LP
July 18, 2012 - December 3, 2012
AEGIS CAPITAL CORP.
July 11, 2011 - July 16, 2012
BUCKMAN, BUCKMAN & REID, INC.
November 3, 2010 - July 11, 2011
GLOBAL ARENA CAPITAL CORP
February 5, 2007 - November 2, 2010
PRESTIGE FINANCIAL CENTER, INC.
September 28, 2006 - February 1, 2007
LEMPERT BROTHERS INTERNATIONAL USA, INC.
August 3, 2005 - September 21, 2006
BRILL SECURITIES, INC.
July 31, 2001 - September 2, 2005
MCGINN, SMITH & CO., INC.
June 4, 2001 - July 30, 2001
PAULSON INVESTMENT COMPANY LLC
April 20, 2001 - May 30, 2001
MERCER PARTNERS INCORPORATED
October 14, 1999 - April 10, 2001
MILLENNIUM SECURITIES CORP.
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
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
