Herman Slutsky
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.
Herman Slutsky was a registered financial professional .
Herman is a previously registered financial professional and started their career in finance in 1970. Herman had worked at 22 firms and has passed the Series 63, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 1994 - October 28, 1999
COMPREHENSIVE CAPITAL CORPORATION
March 12, 1992 - April 18, 1994
BERKELEY SECURITIES CORPORATION
December 17, 1990 - March 19, 1992
NETWORK 1 FINANCIAL SECURITIES INC.
October 22, 1990 - December 14, 1990
FIRST MONTAUK SECURITIES CORP.
March 19, 1990 - October 22, 1990
G. K. SCOTT & CO., INC.
November 15, 1989 - April 5, 1990
MALONE & ASSOCIATES, INC.
June 28, 1989 - October 17, 1989
TAMARON INVESTMENTS, INC.
May 11, 1989 - June 29, 1989
WALL STREET WEST, INC.
May 26, 1988 - May 10, 1989
J. T. MORAN & CO., INC.
August 31, 1987 - June 1, 1988
JOSEPHTHAL & CO., INC.
May 5, 1986 - July 2, 1987
HAAS SECURITIES CORPORATION
March 18, 1985 - June 1, 1988
JOSEPHTHAL & CO., INC.
April 2, 1984 - January 28, 1985
CITIWIDE SECURITIES CORP.
May 11, 1983 - October 14, 1983
G. K. SCOTT & CO., INC.
September 11, 1980 - September 13, 1982
ALLEN & COMPANY LLC
December 10, 1979 - March 26, 1984
M. RIMSON & CO., INC.
October 30, 1975 - February 6, 1978
SHERMAN, FITZPATRICK & CO., INC.
May 14, 1974 - July 11, 1976
BOURSE SECURITIES
May 24, 1973 - March 2, 1974
EDWARDS & HANLY
March 6, 1973 - June 18, 1975
RITTMASTER, LAWRENCE AND CO., INC.
June 16, 1972 - March 25, 1973
HENDERSON, WOLL & CO., INC.
December 15, 1971 - June 16, 1972
I J FISCHER & CO INC
October 18, 1971 - December 14, 1971
E. P. SEGGOS & COMPANY, INC.
June 16, 1971 - November 13, 1971
S. B. CANTOR & CO., INC.
November 4, 1970 - February 7, 1971
E. P. SEGGOS & COMPANY, 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
PC
Date: 1/6/1986
AMEX Put and Call ExamSeries 1
Date: 4/29/1959
Registered Representative ExaminationSeries 00
Date: 11/2/1970
General Securities Principal ExaminationCurrent Firm
COMPREHENSIVE CAPITAL CORPORATION
CRD#: 6215 / SEC#: , 8-17087
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 7 |
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.
