Seymour R. Sacks
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.
Seymour R Sacks was a registered financial advisor .
Seymour is a previously registered financial advisor and started their career in finance in 1968. Seymour had worked at 10 firms and has passed the Series 65, Series 63, Series 15, PC 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
April 5, 2007 - April 30, 2009
VFINANCE ADVISORS, INC.
May 15, 2003 - April 30, 2009
VFINANCE INVESTMENTS, INC
March 5, 2002 - April 24, 2003
EKN FINANCIAL SERVICES INC.
January 26, 1994 - January 2, 2002
EHRENKRANTZ KING NUSSBAUM
September 24, 1991 - October 4, 1993
LADENBURG THALMANN & CO. INC.
October 22, 1979 - October 8, 1991
JOSEPHTHAL & CO., INC.
October 26, 1978 - October 10, 1979
J.P. MORGAN SECURITIES LLC
February 21, 1976 - November 28, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
November 14, 1968 - February 8, 1971
ASTRA FUND DISTRIBUTORS CORP.
April 2, 1968 - August 24, 1973
FIRST HAMPSHIRE SECURITIES CORP
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: 4/3/1985
Foreign Currency Options ExaminationPC
Date: 10/1/1977
AMEX Put and Call ExamSeries 1
Date: 6/15/1960
Registered Representative ExaminationCurrent firm
No current employment
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.
