Sunil N. Vallabh
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.
Sunil Neil Vallabh, who also goes by Neil Vallabh, was a registered financial advisor .
Sunil is a previously registered financial advisor and started their career in finance in 2004. Sunil had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2008 - October 19, 2011
FRIEDMAN, LUZZATTO & CO.
September 7, 2005 - September 26, 2006
FRIEDMAN, LUZZATTO & CO.
August 12, 2005 - October 5, 2006
FIRST SOUTHWEST COMPANY, LLC
December 3, 2004 - August 12, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 4, 2004 - August 12, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
FRIEDMAN, LUZZATTO & CO.
CRD#: 19169 / SEC#: , 8-37193
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARLYLE CAPITAL MARKETS INC. | SHAREHOLDER | |
| FRIEDMAN, LAURA LEA | SHAREHOLDER DIRECTOR | 2176267 |
| LUZZATTO, BARBARA FRIEDMAN | SHAREHOLDER DIRECTOR | 1620302 |
| AMSBERRY, RICHARD FRANCIS | FINOP | 2917504 |
| BRICKEY, ARTHUR GIDEON IV | SR. VICE PRESIDENT | 2332643 |
| FRIEDMAN, BARRY LEE | CHIEF COMPLIANCE OFFICER, PRESIDENT DIRECTOR | 1620299 |
Disclosures
| Regulatory Event | 1 |
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.
