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AF

Adam T. Forman

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CRD#: 2826964
AF

Professional summary

Adam Todd Forman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Adam is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Adam had worked at 11 firms, which includes LH ROSS & COMPANY INC., FLORIDA DISCOUNT SECURITIES INC., SSI SECURITIES CORP., MILLENNIUM SECURITIES CORP., DELTA ASSET MANAGEMENT COMPANY LLC, WIN CAPITAL CORP., TAYLOR STUART FINANCIAL INC., MONTROSE CAPITAL MANAGEMENT LTD., GUNNALLEN FINANCIAL INC, INTERNATIONAL BOND AND SHARE INC., LADENBURG CAPITAL MANAGEMENT INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Adam Forman

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

December 11, 2002 - March 19, 2004

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

July 16, 2001 - October 4, 2002

FLORIDA DISCOUNT SECURITIES, INC.

BD
CRD#: 44859
BOCA RATON, FL
Past

April 5, 2001 - July 11, 2001

SSI SECURITIES CORP.

BD
CRD#: 8275
BOCA RATON, FL
Past

August 9, 2000 - September 6, 2000

MILLENNIUM SECURITIES CORP.

BD
CRD#: 31695
NEW YORK, NY
Past

May 1, 2000 - March 26, 2001

DELTA ASSET MANAGEMENT COMPANY, LLC

BD
CRD#: 39923
MINEOLA, NY
Past

October 15, 1999 - April 24, 2000

WIN CAPITAL CORP.

BD
CRD#: 36172
BAYVILLE, NY
Past

June 23, 1999 - September 3, 1999

TAYLOR STUART FINANCIAL, INC.

BD
CRD#: 39025
GREAT NECK, NY
Past

February 4, 1999 - May 27, 1999

MONTROSE CAPITAL MANAGEMENT LTD.

BD
CRD#: 40799
NEW YORK, NY
Past

October 7, 1998 - November 6, 1998

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

April 24, 1998 - September 15, 1998

INTERNATIONAL BOND AND SHARE, INC.

BD
CRD#: 43196
ST. PETERSBURG, FL
Past

January 15, 1997 - August 19, 1997

LADENBURG CAPITAL MANAGEMENT INC.

BD
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
RR
Series 63
Date: 1/7/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/23/1996
General Securities Representative Examination

Current Firm

LR
LH ROSS & COMPANY, INC.
LH ROSS & COMPANY, INC.

CRD#: 37920 / SEC#: , 8-47990

BD
Cancelled by SEC on 10/04/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 11/03/1994
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LH ROSS HOLDING CORP.PARENT COMPANY
MICHELIN, FRANKLYN ROSSPRESIDENT2459180

Disclosures

Regulatory Event31
Arbitration15

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.

Company Information

LH ROSS & COMPANY, INC.

CRD#: 37920

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