Jack Shusterman
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.
Jack Shusterman was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1972. Jack had worked at 7 firms and has passed the Series 40 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2001 - October 20, 2005
BESTVEST INVESTMENTS, LTD.
November 25, 1998 - July 27, 2001
ORION FINANCIAL SERVICES, LLC
October 1, 1985 - October 26, 1998
GRUNTAL & CO., L.L.C.
January 18, 1982 - October 1, 1985
JII SECURITIES INC.
February 8, 1980 - January 21, 1982
ELKINS & CO.
June 19, 1973 - December 28, 1979
ADVEST, INC.
May 1, 1972 - June 8, 1973
WEIS SECURITIES, INC.
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 40
Date: 5/5/1975
Registered Principal ExaminationCurrent Firm
BESTVEST INVESTMENTS, LTD.
CRD#: 40302 / SEC#: , 8-49007
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OC HOLDINGS LLC | OWNER | |
| COONEY, WILLIAM GRESHAM | CHIEF COMPLIANCE OFFICER | 1333702 |
| OCONNOR, JAMES WILLIAM | PRESIDENT AND FINANCIAL PRINCIPAL |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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