Elliot I. Eiseman
Professional summary
Elliot Isadore Eiseman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Elliot is a previously registered financial professional and started their career in finance in 1967. Prior to being barred, Elliot had worked at 9 firms, which includes JOSEPHTHAL & CO. INC., JJC SECURITIES CO. INC., JSC SECURITIES INC., PRESCOTT BALL & TURBEN INC., EASTERN CAPITAL SECURITIES INC., INTERSOUTH SECURITIES CORPORATION, NATIONSBANC SECURITIES OF GEORGIA INC., FIRST STATE SECURITIES CORP., EXECUTIVE SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 1991 - March 5, 2001
JOSEPHTHAL & CO., INC.
June 20, 1990 - October 18, 1991
JJC SECURITIES CO., INC.
December 10, 1986 - May 29, 1990
JSC SECURITIES, INC.
January 17, 1986 - November 28, 1986
PRESCOTT, BALL & TURBEN, INC.
August 16, 1984 - December 19, 1985
EASTERN CAPITAL SECURITIES, INC.
December 14, 1983 - July 26, 1984
INTERSOUTH SECURITIES CORPORATION
January 19, 1982 - January 26, 1984
NATIONSBANC SECURITIES OF GEORGIA, INC.
September 16, 1981 - September 21, 1981
NATIONSBANC SECURITIES OF GEORGIA, INC.
June 27, 1975 - August 14, 1981
FIRST STATE SECURITIES CORP.
November 8, 1967 - February 14, 1975
EXECUTIVE SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 3/12/1990
AMEX Put and Call ExamSeries 1
Date: 7/29/1960
Registered Representative ExaminationCurrent Firm
JOSEPHTHAL & CO., INC.
CRD#: 3227 / SEC#: , 8-5651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHTHAL CAPITAL GROUP, INC. | PARENT | |
| AGOSTA, SALVATORE FRANK | CHIEF FINANCIAL OFFICER | 1253738 |
| FICHTNER, HENRY ARTHUR | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | 1327009 |
| FITZGERALD, PAUL HENRY | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | 812775 |
| HURLEY, KEVIN BRADY | COMPLIANCE DIRECTOR | 1293748 |
| KRONENBERG, DAVID HIRSCH | CHIEF ADMINISTRATIVE OFFICER | 1799665 |
| MATYCKAS, EDWARD STANLEY | CROP/SROP | 1405961 |
| MCCABE, DONALD GERARD | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | 1367480 |
| MCNAMARA, DENNIS PATRICK | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | 2938486 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 12 |
Red Flags
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