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TS

Theodore M. Saltzman

Some features on this profile are disabled
CRD#: 409582
TS

Professional summary

Theodore Murray Saltzman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Theodore is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Theodore had worked at 10 firms, which includes NATIONAL SECURITIES CORPORATION, WESCO SECURITIES INC., TMA GOVERNMENT SECURITIES LTD., SECURITIES WEST INC., PORTFOLIO STRATEGIES INC., CHRISTOPHER WEIL & COMPANY INC, SHEARSON HAYDEN STONE INC., HAYDEN STONE INC., B. J. LERNER & COMPANY INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ted Saltzman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 23, 1993 - December 16, 1998

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

July 10, 1989 - August 20, 1991

WESCO SECURITIES, INC.

BD
CRD#: 6471
SAN FRANCISCO, CA
Past

February 22, 1985 - July 31, 1987

TMA GOVERNMENT SECURITIES, LTD.

BD
CRD#: 15196
Past

February 23, 1983 - June 27, 1983

SECURITIES WEST, INC.

BD
CRD#: 4898
Past

May 14, 1980 - March 3, 1981

PORTFOLIO STRATEGIES, INC.

BD
CRD#: 6455
Past

October 17, 1979 - November 27, 1980

CHRISTOPHER WEIL & COMPANY, INC

BD
CRD#: 6566
Past

November 17, 1976 - September 17, 1977

SHEARSON HAYDEN STONE INC.

BD
CRD#: 7295
Past

November 8, 1974 - November 17, 1976

SHEARSON HAYDEN STONE INC.

BD
CRD#: 6774
Past

January 12, 1973 - November 8, 1974

HAYDEN STONE INC.

BD
CRD#: 6567
Past

August 10, 1970 - February 17, 1973

B. J. LERNER & COMPANY, INC.

BD
CRD#: 946

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/8/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 4/13/1962
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 4/8/1974
General Securities Principal Examination

Current Firm

NS
NATIONAL SECURITIES CORPORATION
NAT'L SECURITIES CORP | WASHINGTON NATIONAL SECURITIES CORPORATION | NTL INSURANCE AGENCY | NSC INSURANCE AGENCY | NATIONAL SECURITIES OF WASHINGTON | NATIONAL SECURITIES CORPORATION | NATIONAL SECURITIES CORP OF WASHINGTON STATE

CRD#: 7569 / SEC#: , 8-164

BD
Terminated by SEC on 10/20/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Washington since 01/06/1947
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONAL HOLDINGS CORPORATIONPARENT, OWNER
MARKUNAS, MICHAELCHIEF COMPLIANCE OFFICER1832307

Disclosures

Regulatory Event66
Arbitration16

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.

Company Information

NATIONAL SECURITIES CORPORATION

CRD#: 7569

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