Stuart N. Kingoff
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.
Stuart Neal Kingoff, who also goes by Stuart N Kingoff, was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1981. Stuart had worked at 6 firms and has passed the Series 65, Series 63, Series 7 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
October 7, 2003 - October 3, 2005
DU PASQUIER & CO., INC.
October 23, 2002 - October 16, 2003
MAXIM GROUP LLC
January 31, 2001 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
May 10, 1996 - January 31, 2001
HERZOG, HEINE, GEDULD, LLC
August 29, 1994 - June 26, 1996
FIRST ASSET MANAGEMENT, INC.
July 20, 1990 - April 26, 1993
LEHMAN BROTHERS INC.
January 19, 1981 - July 6, 1990
HERZOG, HEINE, GEDULD, 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
DU PASQUIER & CO., INC.
CRD#: 24750 / SEC#: 801-61795, 8-41367
Contact information
Disclosures
| Regulatory Event | 3 |
Red Flags
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