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..
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
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Exams
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Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
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
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