Jerome A. Lichtstein
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jerome Alfred Lichtstein was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1966. Jerome had worked at 6 firms and has passed the Series 65, Series 41, Series 5, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2011 - April 1, 2013
KEY GROUP MANAGEMENT, INC.
February 4, 1999 - May 7, 2002
THE KEY GROUP INC.
June 29, 1996 - January 31, 1999
CORRESPONDENT SERVICES CORPORATION
January 31, 1989 - February 26, 1999
UBS FINANCIAL SERVICES INC.
April 11, 1988 - February 24, 1989
LEHMAN BROTHERS INC.
December 19, 1966 - April 11, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
KEY GROUP MANAGEMENT, INC.
CRD#: 146054 / SEC#: 801-114845
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
Series 41
Date: 10/27/1983
NYSE Allied Member ExaminationSeries 5
Date: 10/2/1981
Interest Rate Options ExaminationSeries 1
Date: 12/16/1966
Registered Representative ExaminationSeries 40
Date: 2/20/1975
Registered Principal ExaminationCurrent Firm
KEY GROUP MANAGEMENT, INC.
CRD#: 146054 / SEC#: 801-114845
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 337 |
| AUM (Assets Under Management) | $ 303,800,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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