Otto S. Folin
Professional summary
Otto Sam Folin was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Otto is a previously registered financial advisor and started their career in finance in 1977. Prior to being barred, Otto had worked at 9 firms, which includes BENCHMARK ASSET MANAGERS LLC, BOE SECURITIES INC., NEWBOLD'S ASSET MANAGEMENT INC, 1717 CAPITAL MANAGEMENT COMPANY, W.H. NEWBOLD'S SON & CO. INC., UBS FINANCIAL SERVICES INC., LEHMAN BROTHERS INC., JANNEY MONTGOMERY SCOTT LLC, DEHAVEN & TOWNSEND CROUTER & BODINE INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2003 - December 31, 2011
BENCHMARK ASSET MANAGERS, LLC
June 9, 1999 - August 1, 2002
BOE SECURITIES INC.
July 19, 1989 - November 8, 1991
NEWBOLD'S ASSET MANAGEMENT, INC
February 10, 1989 - July 22, 1989
1717 CAPITAL MANAGEMENT COMPANY
October 11, 1985 - January 3, 1989
W.H. NEWBOLD'S SON & CO., INC.
September 12, 1983 - November 1, 1985
UBS FINANCIAL SERVICES INC.
February 16, 1979 - September 20, 1983
LEHMAN BROTHERS INC.
March 31, 1978 - October 25, 1983
W.H. NEWBOLD'S SON & CO., INC.
February 1, 1978 - March 9, 1979
JANNEY MONTGOMERY SCOTT LLC
March 21, 1977 - March 31, 1978
DEHAVEN & TOWNSEND, CROUTER & BODINE INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 9/1/1977
AMEX Put and Call ExamCurrent firm
No current employment
Red Flags
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