Jeffrey B. Rubin
Professional summary
Jeffrey Brett Rubin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial advisor and started their career in finance in 1997. Prior to being barred, Jeffrey had worked at 7 firms, which includes INTERNATIONAL ASSETS ADVISORY LLC, SOCIUS FAMILY OFFICE LLC, ALTERNA CAPITAL CORP., OSAIC FA INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, ROBERT W. BAIRD & CO. INCORPORATED, NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2009 - March 10, 2011
INTERNATIONAL ASSETS ADVISORY, LLC
May 16, 2008 - February 11, 2010
SOCIUS FAMILY OFFICE, LLC
July 21, 2006 - September 24, 2009
ALTERNA CAPITAL CORP.
May 9, 2000 - July 17, 2006
OSAIC FA, INC.
May 9, 2000 - April 12, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 9, 2000 - July 17, 2006
OSAIC FA, INC.
October 30, 1998 - June 8, 2000
ROBERT W. BAIRD & CO. INCORPORATED
September 8, 1997 - June 8, 2000
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| HARRIS, KEVIN ANDRE | FINOP | 7061906 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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