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Preston L. Sjoblom

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CRD#: 2840573
PS

Professional summary

Preston Leigh Sjoblom was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Preston is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Preston had worked at 2 firms, which includes FIN-ATLANTIC SECURITIES INC., M.S. FARRELL & COMPANY INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

November 5, 1997 - April 6, 1998

FIN-ATLANTIC SECURITIES, INC.

BD
CRD#: 25523
JUPITER, FL
Past

June 12, 1997 - December 4, 1997

M.S. FARRELL & COMPANY, INC.

BD
CRD#: 24232
SYOSSET, 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: 6/4/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/2/1997
General Securities Representative Examination

Current Firm

FS
FIN-ATLANTIC SECURITIES, INC.
FIN-ATLANTIC SECURITIES, INC. | HAYWARD MALM SECURITIES, LTD.

CRD#: 25523 / SEC#: , 8-41809

BD
Terminated by SEC on 05/21/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/08/1989
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SURMAN, JERRY EDMONDPRESIDENT2143628
DUNN, LISA KATHERINEFINOP2961317

Disclosures

Regulatory Event2
Arbitration2

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

FIN-ATLANTIC SECURITIES, INC.

CRD#: 25523

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