Shoshana M. Lubin
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.
Shoshana Michelle Lubin, who also goes by Shoshana Michelle Broza-stone, Shoshana Pincus, Shoshana Stone, was a registered financial professional .
Shoshana is a previously registered financial professional and started their career in finance in 2013. Shoshana had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 27 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
November 12, 2020 - October 28, 2022
PANTHEON SECURITIES, LLC
March 1, 2017 - June 13, 2019
PANTHEON SECURITIES, LLC
May 31, 2016 - February 28, 2017
AMG DISTRIBUTORS, INC.
August 5, 2013 - May 18, 2016
CAIS CAPITAL LLC
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
PANTHEON SECURITIES, LLC
CRD#: 285480 / SEC#: , 8-69844
Contact information
FINRA licenses (53 States and Territories)
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.
