Oleg A. Feldman
Professional summary
Oleg Alec Feldman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Oleg is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Oleg had worked at 5 firms, which includes BAXTER BANKS & SMITH LTD., WOLFF INVESTMENT GROUP INCORPORATED, W.J. NOLAN & COMPANY INC., INSTITUTIONAL EQUITY CORPORATION, ROYCE INVESTMENT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 1998 - March 20, 2000
BAXTER BANKS & SMITH, LTD.
March 27, 1998 - August 3, 1998
WOLFF INVESTMENT GROUP INCORPORATED
April 30, 1997 - December 16, 1997
W.J. NOLAN & COMPANY, INC.
March 11, 1997 - April 21, 1997
INSTITUTIONAL EQUITY CORPORATION
February 18, 1997 - March 24, 1997
ROYCE INVESTMENT GROUP, INC.
State Registrations and Notice Filings
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Exams
Current Firm
BAXTER BANKS & SMITH, LTD.
CRD#: 40771 / SEC#: , 8-49185
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 17 |
Red Flags
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