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SL

Sol Murray Luft

CRD# 720764·Registered 1980 - 1999
Previously Registered: Being a previously registered professional could mean that Sol 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.

Professional Summary

Sol Murray Luft, who also goes by Marc Luft, was a registered financial advisor. Sol was a previously registered financial professional and started their career in finance 1980 - 1999. Sol had worked at 6 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Marc Luft

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

45 years in the financial services industry

Current & Past Employments

THE AGEAN GROUP, INC·CRD# 30835
BD
Boca Raton, FL
January 25, 1999 - July 14, 1999
H.J. MEYERS & CO., INC.·CRD# 15609
BD
Rochester, NY
January 2, 1997 - October 5, 1998
NEWPORT COAST SECURITIES, INC.·CRD# 16944
BD
New York, NY
December 7, 1992 - December 18, 1996
ROTH CAPITAL PARTNERS, LLC·CRD# 15407
BD
Newport Beach, CA
September 11, 1990 - August 17, 1992
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
January 28, 1985 - July 12, 1990
MORGAN STANLEY DW INC.·CRD# 7556
BD
December 29, 1980 - January 25, 1985

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Current Firm

TA
THE AGEAN GROUP, INC

ADVANCED FINANCIAL SERVICES, INC. | THE AGEAN GROUP, INC

CRD#: 30835 / SEC#: 8-45192
BD
Terminated by SEC on 11/24/2000

Contact Information

Established

Florida since 12/22/1994

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
NOAH FINANCIAL SERVICESSHAREHOLDER—
DESIDERIO, BARBARA LUCILLECHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER2080713
POLIAK, ALBERT JAMESPRESIDENT/CEO1270681

Disclosures

Regulatory Event

2

Arbitration

2

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1981About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1980About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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