Justin A. Inniss
Professional summary
Justin Andre Inniss was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Justin is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Justin had worked at 8 firms, which includes FIRST HUDSON FINANCIAL GROUP INC., A.B. WATLEY INC., HOPEWELL CAPITAL GROUP INC., BISHOP ROSEN & CO. INC., PHD CAPITAL, KAUFMAN BROS. L.P., CIBC WORLD MARKETS CORP., GRUNTAL & CO. L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2004 - March 8, 2005
FIRST HUDSON FINANCIAL GROUP, INC.
June 10, 2003 - August 13, 2003
A.B. WATLEY, INC.
October 2, 2002 - October 15, 2003
HOPEWELL CAPITAL GROUP, INC.
May 17, 2001 - June 20, 2001
BISHOP, ROSEN & CO., INC.
November 17, 2000 - May 10, 2001
PHD CAPITAL
May 28, 1999 - November 20, 2000
KAUFMAN BROS., L.P.
April 23, 1998 - April 23, 1998
CIBC WORLD MARKETS CORP.
April 23, 1998 - September 23, 1999
CIBC WORLD MARKETS CORP.
December 15, 1997 - April 23, 1998
GRUNTAL & CO., L.L.C.
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
FIRST HUDSON FINANCIAL GROUP, INC.
CRD#: 32926 / SEC#: , 8-41803
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WONG, YUET KWAN | PRESIDENT AND CHIEF COMPLIANCE OFFICER/ROP | |
| LMH MANAGEMENT CORP | OWNER | |
| HOES, LAWRENCE MATTHEW | MINORITY SHAREHOLDER | 1962908 |
| SIMON, MICHAEL CHARLES | CHIEF FINANCIAL OFFICER/SROP/CROP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
