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ES

Elliot B. Schneider

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CRD#: 414338
ES

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.

Elliot Bernard Schneider was a registered financial professional .

Elliot is a previously registered financial professional and started their career in finance in 1970. Elliot had worked at 5 firms and has passed the Series 63, Series 3, Series 5, Series 16, PC, Series 000 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

March 25, 1976 - September 17, 1999

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

April 5, 1973 - February 29, 1976

COLIN, HOCHSTIN CO.

BD
CRD#: 5969
Past

December 7, 1972 - April 23, 1973

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
Past

July 8, 1971 - November 5, 1972

DEVON SECURITIES

BD
CRD#: 1000002
Past

March 9, 1970 - July 1, 1971

CHARTERED NEW ENGLAND CORPORATION

BD
CRD#: 4308

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: 6/7/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 8/20/1984
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 5
Date: 12/14/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 16
Date: 5/15/1982
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
PC
Date: 7/5/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 000
Date: 10/29/1956
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 2/20/1967
Registered Principal Examination

Current Firm

G&
GRUNTAL & CO., L.L.C.
GLOBAL ASSET MANAGEMENT | PROFESSIONAL ASSET MANAGEMENT | GRUNTAL MANAGED ACCOUNTS | GRUNTAL FOCUS ADVISORS | GRUNTAL & CO., L.L.C. | GRUNTAL & CO. INCORPORATED | GRUNTAL & CO.

CRD#: 372 / SEC#: , 8-31022

BD
Terminated by SEC on 07/21/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/04/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GRUNTAL FINANCIAL, L.L.C.INTEREST HOLDER
BRADLEY, RALPH HAMILTON JRDIRECTOR, EXECUTIVE VICE PRESIDENT2802958
COHEN, DONALD NEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY
JOHNSON, ROSEMARYDIRECTOR, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER1515631
RITTEREISER, ROBERT PETERDIRECTOR, CHAIRMAN, CEO400305

Disclosures

Regulatory Event34
Arbitration81
Bond2

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

GRUNTAL & CO., L.L.C.

CRD#: 372

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