Blake J. Shanaphy
Professional summary
Blake Justin Shanaphy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Blake is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Blake had worked at 5 firms, which includes ESSEX & YORK INC., DELTA ASSET MANAGEMENT COMPANY LLC, PARK CAPITAL SECURITIES LLC, HORNBLOWER & WEEKS INC., TASIN & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2004 - February 26, 2007
ESSEX & YORK, INC.
June 25, 2002 - July 13, 2004
DELTA ASSET MANAGEMENT COMPANY, LLC
May 24, 2001 - June 12, 2002
PARK CAPITAL SECURITIES, LLC
August 11, 1998 - June 11, 2001
HORNBLOWER & WEEKS, INC.
May 5, 1998 - August 10, 1998
TASIN & COMPANY, INC.
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
ESSEX & YORK, INC.
CRD#: 118495 / SEC#: , 8-53670
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Criminal | 1 |
| Arbitration | 1 |
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.
