Samuel Lieberman
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.
Samuel Lieberman was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1968. Samuel had worked at 3 firms and has passed the SIE, Series 55, Series 1, Series 4, Series 27 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
July 14, 1981 - April 1, 2016
ROTHSCHILD LIEBERMAN LLC
April 22, 1971 - August 6, 1981
ROTHSCHILD INVESTMENT LLC
November 21, 1968 - April 3, 1971
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 2/28/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 11/18/1968
Registered Representative ExaminationSeries 40
Date: 10/12/1978
Registered Principal ExaminationCurrent Firm
ROTHSCHILD LIEBERMAN LLC
CRD#: 10030 / SEC#: , 8-26080
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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