Irving Waxman
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.
Irving Waxman was a registered financial professional .
Irving is a previously registered financial professional and started their career in finance in 1966. Irving had worked at 5 firms and has passed the Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 1986 - January 10, 2006
SETON SECURITIES GROUP, INC.
February 27, 1985 - January 4, 1988
TEICHBERG, LOEB, WAXMAN, RABINOWITZ, INC.
March 23, 1984 - September 9, 1985
LEGEND MERCHANT GROUP, INC.
September 27, 1979 - May 1, 1985
R. F. LAFFERTY & CO., INC.
October 21, 1966 - March 5, 1979
EVANS & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
SETON SECURITIES GROUP, INC.
CRD#: 18044 / SEC#: , 8-36105
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
Red Flags
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