Marc S. Kimmel
Professional summary
Marc Steven Kimmel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Marc is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Marc had worked at 12 firms, which includes LH ROSS & COMPANY INC., FLORIDA DISCOUNT SECURITIES INC., NEWBRIDGE SECURITIES CORPORATION, SALOMON GREY FINANCIAL CORPORATION, STERLING FINANCIAL INVESTMENT GROUP INC., JOSEPH CHARLES & ASSOC. INC., ROYAL HUTTON SECURITIES CORP., PACIFIC CORTEZ SECURITIES INCORPORATED, TASIN & COMPANY INC., ASH FINANCIAL CORP., H.J. MEYERS & CO. INC., INVESTORS ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2003 - March 17, 2005
LH ROSS & COMPANY, INC.
March 4, 2003 - April 10, 2003
LH ROSS & COMPANY, INC.
March 11, 2002 - August 7, 2002
LH ROSS & COMPANY, INC.
September 25, 2001 - March 1, 2002
FLORIDA DISCOUNT SECURITIES, INC.
January 16, 2001 - September 25, 2001
NEWBRIDGE SECURITIES CORPORATION
January 8, 2001 - January 16, 2001
SALOMON GREY FINANCIAL CORPORATION
November 20, 2000 - December 21, 2000
STERLING FINANCIAL INVESTMENT GROUP, INC.
September 27, 1999 - November 20, 2000
JOSEPH CHARLES & ASSOC., INC.
November 23, 1998 - September 28, 1999
ROYAL HUTTON SECURITIES CORP.
September 10, 1998 - November 30, 1998
JOSEPH CHARLES & ASSOC., INC.
May 4, 1998 - July 31, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
October 17, 1997 - March 27, 1998
TASIN & COMPANY, INC.
June 6, 1997 - February 6, 1998
ASH FINANCIAL CORP.
April 21, 1997 - June 6, 1997
H.J. MEYERS & CO., INC.
October 9, 1996 - April 18, 1997
INVESTORS ASSOCIATES, 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
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
Red Flags
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