Stanley S. Shuman
Professional summary
Stanley Saxe Shuman is a registered financial professional currently at ALLEN & COMPANY LLC located in New York, New York.
Stanley is registered as a RR (Registered Representative) and started their career in finance in 1963. Stanley has worked at 2 firms and has passed the Series 7TO, Series 79TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stanley Saxe Shuman's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 9, 1964 - Present
ALLEN & COMPANY LLC
Office #1: 711 Fifth Avenue, New York, NY 10022Office #2: 711 Fifth Avenue, New York, NY 10022August 6, 1963 - November 24, 1975
ALLEN & COMPANY
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 1
Date: 7/29/1963
Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
ALLEN & COMPANY LLC
CRD#: 1042 / SEC#: , 8-12123
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLEN OPERATIONS LLC | PARENT COMPANY | |
| ALLEN, HERBERT, III ANTHONY | MANAGING DIRECTOR & PRESIDENT | 1532662 |
| DIIORIO, PETER | GENERAL COUNSEL | 5309583 |
| GOLINSKY, JODI | CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL | 7671190 |
| MOORE, THOMAS MICHAEL | VICE PRESIDENT - OPERATIONS (CHIEF OPERATIONS OFFICER) | 6046204 |
| VAHABZADEH, SALIMA | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL | 3093372 |
Disclosures
| Regulatory Event | 14 |
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.
