Norman L. Steinberg
Professional summary
Norman Lee Steinberg was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Norman is a previously registered financial professional and started their career in finance in 1974. Prior to being barred, Norman had worked at 15 firms, which includes BUCKMAN BUCKMAN & REID INC., FIS BROKERAGE & SECURITIES SERVICES LLC, RUMSON CAPITAL LLC, WORLDCO L.L.C., THE THERMOPYLAE GROUP INC., FIRST PROVIDENCE FINANCIAL GROUP LLC, FIRST CAMBRIDGE SECURITIES CORPORATION, REICH & CO. INC., KC MAY SECURITIES CORP., JESUP & LAMONT SECURITIES CO. INC., JJC SECURITIES CO. INC., JSC SECURITIES INC., J. J. BRADLEY & CO. INC., A. F. GREEN & COMPANY INC., HAYDEN STONE INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2005 - November 3, 2006
BUCKMAN, BUCKMAN & REID, INC.
March 3, 2003 - May 12, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
February 28, 2003 - March 3, 2003
RUMSON CAPITAL, LLC
September 29, 2000 - June 14, 2001
WORLDCO, L.L.C.
December 23, 1997 - October 19, 1998
THE THERMOPYLAE GROUP, INC.
July 22, 1997 - November 21, 1997
FIRST PROVIDENCE FINANCIAL GROUP, LLC
July 28, 1994 - May 23, 1997
FIRST CAMBRIDGE SECURITIES CORPORATION
December 24, 1991 - March 24, 1994
REICH & CO., INC.
August 14, 1991 - December 21, 1991
KC MAY SECURITIES CORP.
December 12, 1990 - August 8, 1991
JESUP & LAMONT SECURITIES CO., INC.
May 29, 1990 - October 16, 1990
JJC SECURITIES CO., INC.
August 18, 1980 - May 29, 1990
JSC SECURITIES, INC.
June 9, 1977 - October 20, 1981
J. J. BRADLEY & CO., INC.
December 15, 1976 - May 27, 1977
A. F. GREEN & COMPANY, INC.
January 15, 1974 - April 10, 1976
HAYDEN STONE 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: 11/2/2000
Limited Representative-Equity Trader ExamPC
Date: 9/10/1980
AMEX Put and Call ExamSeries 000
Date: 1/10/1974
General Securities Principal ExaminationSeries 1
Date: 1/10/1974
Registered Representative ExaminationF04
Date: 11/20/1978
Financial Principal ExaminationSeries 40
Date: 3/10/1977
Registered Principal ExaminationCurrent Firm
BUCKMAN, BUCKMAN & REID, INC.
CRD#: 23407 / SEC#: , 8-40413
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JTC HOLDINGS LLC | SHARE HOLDER | |
| GIAKAS, WALLACE MARTIN | STOCKHOLDER | 1068278 |
| LAU, PETER SEN | STOCKHOLDER | 2302677 |
| YANG, ZHAO | SHAREHOLDER | 6077274 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| BUCKMAN, HARRY JOHN | CHAIRMAN, RSOP | 1090909 |
| BUCKMAN, HARRY JOHN JR | SR. VICE PRESIDENT | 2202467 |
| BUCKMAN, MARY | STOCKHOLDER | 5823239 |
| BUCKMAN, THOMAS PAUL | SECRETARY | 2577168 |
| CAMPOLI, JOHN | SHAREHOLDER | 6596748 |
| PANNO, RICHARD ANTHONY | CHIEF COMPLIANCE OFFICER | 724727 |
| SHOICHET, MARK ELLIOTT | STOCKHOLDER | 2301353 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
Red Flags
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