Shlomo A. Sela
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.
Shlomo Alex Sela, who also goes by Shlomo A Sela, was a registered financial professional .
Shlomo is a previously registered financial professional and started their career in finance in 1969. Shlomo had worked at 10 firms and has passed the Series 63, 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
June 8, 1988 - May 7, 1993
LEHMAN BROTHERS INC.
March 2, 1984 - June 25, 1988
UBS FINANCIAL SERVICES INC.
November 17, 1981 - March 23, 1984
PRUDENTIAL EQUITY GROUP, LLC
February 22, 1978 - December 2, 1981
LEHMAN BROTHERS KUHN LOEB INCORPORATED
June 9, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
August 27, 1976 - April 23, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
October 15, 1974 - February 27, 1976
BACHE & CO., INCORPORATED
January 7, 1971 - November 16, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
September 29, 1969 - April 26, 1971
GOODBODY & CO. INCORPORATED
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
PC
Date: 10/1/1975
AMEX Put and Call ExamSeries 1
Date: 9/24/1969
Registered Representative ExaminationCurrent Firm
LEHMAN BROTHERS INC.
CRD#: 7506 / SEC#: , 8-12324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEHMAN BROTHERS HOLDINGS INC. | SOLE SHAREHOLDER | |
| CLARK, HOWARD LONGSTRETH JR | DIRECTOR | 47587 |
| CRUIKSHANK, THOMAS HENRY | DIRECTOR | 4708135 |
| FREIDHEIM, SCOTT JON | CO-CHIEF ADMINISTRATIVE OFFICER | 1766230 |
| FULD, RICHARD SEVERIN JR | DIRECTOR/CHAIRMAN AND CEO | 215527 |
| LOWITT, IAN THEO | CO-CHIEF ADMINISTRATIVE OFFICER | 4210205 |
| MCDADE III, HERBERT H. | PRESIDENT AND CHIEF OPERATING OFFICER | 1185218 |
| RUSSO, THOMAS ANTHONY | CHIEF LEGAL OFFICER | 3188169 |
Disclosures
| Regulatory Event | 359 |
| Civil Event | 1 |
| Arbitration | 527 |
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.
