Sam J. Zarou
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.
Sam Joseph Zarou JR was a registered financial professional .
Sam is a previously registered financial professional and started their career in finance in 1997. Sam had worked at 8 firms and has passed the Series 63, SIE, Series 55 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
February 9, 2015 - February 2, 2016
GARY GOLDBERG & CO., LLC
August 12, 2008 - February 7, 2013
GFI SECURITIES LLC
August 16, 2006 - August 4, 2008
TULLETT PREBON FINANCIAL SERVICES LLC
March 21, 2006 - July 10, 2006
JAVELIN SECURITIES, LLC
October 27, 2005 - January 30, 2006
CREDITEX GROUP, INC.
November 3, 2004 - October 17, 2005
CREDITEX GROUP, INC.
July 11, 2003 - April 14, 2004
CARLIN EQUITIES, LLC
February 3, 1999 - May 22, 2001
RUMSON CAPITAL, LLC
January 17, 1997 - January 28, 1999
BARINGTON CAPITAL GROUP, L.P.
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
Series 55
Date: 1/5/2000
Limited Representative-Equity Trader ExamCurrent Firm
GARY GOLDBERG & CO., LLC
CRD#: 47957 / SEC#: , 8-51974
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
