Corey D. Flaum
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.
Corey Douglas Flaum was a registered financial professional .
Corey is a previously registered financial professional and started their career in finance in 1999. Corey had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2018 - November 16, 2018
MARKET SECURITIES, LLC
January 5, 2017 - April 27, 2018
BGC FINANCIAL, L.P.
September 14, 2016 - May 2, 2018
SUNRISE BROKERS LLC
May 19, 2010 - August 4, 2016
SCOTIA CAPITAL (USA) INC.
April 7, 2006 - June 12, 2008
J.P. MORGAN SECURITIES LLC
June 22, 2004 - October 10, 2005
MORGAN JOSEPH TRIARTISAN LLC
June 23, 2003 - June 16, 2004
SIDOTI & COMPANY, LLC
September 9, 2002 - April 10, 2003
GOLDMAN SACHS & CO. LLC
February 25, 2000 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
November 12, 1999 - March 1, 2000
CANTOR FITZGERALD SECURITIES
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 55
Date: 3/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
MARKET SECURITIES, LLC
CRD#: 283701 / SEC#: , 8-69765
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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