Gary S. Lishnoff
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.
Gary Steven Lishnoff was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1973. Gary had worked at 13 firms and has passed the Series 63, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 1990 - October 8, 1991
LEGEND MERCHANT GROUP, INC.
January 22, 1990 - July 24, 1990
CMT FINANCIAL GROUP
October 4, 1989 - December 13, 1989
BERKELEY SECURITIES CORPORATION
June 14, 1989 - September 16, 1989
FIRST SWISS INTERNATIONAL SECURITIES CORPORATION
February 21, 1989 - August 15, 1989
LEVCO SECURITIES CORP.
September 19, 1988 - March 8, 1989
VANDERBILT SECURITIES, INC.
June 20, 1988 - September 14, 1988
GRUNTAL & CO., L.L.C.
February 2, 1988 - March 9, 1988
MOSELEY SECURITIES CORPORATION
June 28, 1985 - March 18, 1986
PRUDENTIAL-BACHE SECURITIES (PAN AMERICA) INC.
May 16, 1984 - June 30, 1987
PRUDENTIAL EQUITY GROUP, LLC
January 22, 1982 - April 30, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
May 19, 1978 - January 28, 1982
KIDDER, PEABODY & CO. INCORPORATED
May 15, 1973 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
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 5
Date: 10/5/1982
Interest Rate Options ExaminationSeries 1
Date: 5/10/1973
Registered Representative ExaminationCurrent Firm
LEGEND MERCHANT GROUP, INC.
CRD#: 5155 / SEC#: 801-63525, 8-21703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEDGE END CORP. | OWNER | |
| UNSWORTH, DAVID WOODS JR | CHAIRMAN, CCO, CEO & PRESIDENT | 1609040 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 4 |
| Judgment/Lien | 4 |
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.
