Jerome E. Liss
Professional summary
Jerome Edward Liss was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jerome is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, Jerome had worked at 4 firms, which includes NATIONAL SECURITIES CORPORATION, LISS FINANCIAL SERVICES, FREDERICK & COMPANY INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2002 - January 6, 2003
NATIONAL SECURITIES CORPORATION
June 9, 1988 - October 1, 2002
LISS FINANCIAL SERVICES
January 21, 1987 - April 26, 1988
FREDERICK & COMPANY, INC.
December 5, 1977 - December 26, 1986
LEHMAN BROTHERS 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
Series 15
Date: 12/13/1983
Foreign Currency Options ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 7/10/1957
Registered Representative ExaminationSeries 40
Date: 2/8/1978
Registered Principal ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
