Lance M. Brofman
Professional summary
Lance Mark Brofman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lance is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Lance had worked at 1 firm, which includes DONALD SHELDON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 1982 - July 30, 1985
DONALD SHELDON & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
F04
Date: 9/14/1978
Financial Principal ExaminationSeries 40
Date: 7/27/1978
Registered Principal ExaminationCurrent Firm
DONALD SHELDON & CO., INC.
CRD#: 6966 / SEC#: , 8-19077
Contact information
Documents
Red Flags
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