Ashley Nemiroff
Professional summary
Ashley Nemiroff was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ashley is a previously registered financial professional and started their career in finance in 1968. Prior to being barred, Ashley had worked at 5 firms, which includes FAB SECURITIES OF AMERICA INC., ASH FINANCIAL CORP., R.C. STAMM & CO. INC., LADENBURG THALMANN & CO. INC., CREDIT AGRICOLE SECURITIES (USA) INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 1998 - May 6, 1999
FAB SECURITIES OF AMERICA, INC.
January 18, 1990 - January 13, 1999
ASH FINANCIAL CORP.
January 10, 1986 - October 24, 1988
R.C. STAMM & CO., INC.
September 17, 1984 - October 18, 1985
LADENBURG THALMANN & CO. INC.
October 22, 1968 - September 14, 1984
CREDIT AGRICOLE SECURITIES (USA) 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 41
Date: 2/13/1979
NYSE Allied Member ExaminationSeries 1
Date: 4/2/1965
Registered Representative ExaminationSeries 000
Date: 3/25/1965
General Securities Principal ExaminationSeries 00
Date: 7/12/1973
General Securities Principal ExaminationCurrent Firm
FAB SECURITIES OF AMERICA, INC.
CRD#: 28212 / SEC#: , 8-41925
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FAB CAPITAL CORPORATION | ACQUIRING SOLE SHAREHOLDER | |
| SCHNEIDER, ROBERT ANDREW | SELLING MAJORITY SHAREHOLDER | 2128754 |
| SCHNEIDER, ROBERT ANDREW | RESIGNED CHAIRMAN AND PRESIDENT | 2128754 |
| HEILPERN, GERALD MARTIN | ACTING/INTERIM CHIEF OPERATING OFFICER | 241803 |
| HEILPERN, GERALD MARTIN | CHIEF OPERATING OFFICER AND DIRECTOR | 241803 |
| HEILPERN, GERALD MARTIN | RESIGNED CHIEF OPERATING OFFICER AND RESIGNED DIRECTOR | 241803 |
| MOLDTORRES, JULIA ANTIGONE | RESIGNED CHIEF FINANCIAL OFFICER (PRINCIPAL) | 2155228 |
| PARSONS, DAVID WAYNE | CHIEF LEGAL OFFICER | 2963654 |
| SCHNEIDER, SUE ELLEN | SELLING MINORITY SHAREHOLDER | |
| SCHULMAN, FREDRICK | RESIGNED CHIEF LEGAL OFFICER | 2834936 |
| STRAUSBERG, RANDY MARSHALL | CHIEF EXECUTIVE OFFICER AND CHAIRMAN | 818732 |
| STRAUSBERG, RANDY MARSHALL | CHIEF FINANCIAL OFFICER (PRINCIPAL) | 818732 |
| STRAUSBERG, RANDY MARSHALL | ACTING/INTERIM CHIEF EXECUTIVE OFFICER | 818732 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 7 |
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.
