Vladimir W. Feldman
Professional summary
Vladimir William Feldman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Vladimir is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Vladimir had worked at 6 firms, which includes DUPONT SECURITIES GROUP INC., FEDERAL STREET INVESTMENTS INC., BACK BAY CAPITAL INC., CAPITAL SUISSE SECURITIES INC., ARGUS SECURITIES INC., FIRST MADISON SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2003 - July 2, 2004
DUPONT SECURITIES GROUP, INC.
February 6, 2003 - June 13, 2003
FEDERAL STREET INVESTMENTS, INC.
August 19, 2002 - March 11, 2003
BACK BAY CAPITAL, INC.
July 24, 2001 - October 18, 2002
CAPITAL SUISSE SECURITIES, INC.
December 15, 2000 - July 11, 2001
ARGUS SECURITIES, INC.
July 27, 2000 - December 6, 2000
FIRST MADISON 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 55
Date: 5/31/2002
Limited Representative-Equity Trader ExamCurrent Firm
DUPONT SECURITIES GROUP, INC.
CRD#: 42305 / SEC#: , 8-49791
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
| Arbitration | 5 |
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.
