Sheldon S. Traube

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CRD#: 809594

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.

Sheldon Saul Traube was a registered financial professional .

Sheldon is a previously registered financial professional and started their career in finance in 1975. Sheldon had worked at 9 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 6, 2019 - April 1, 2022

LEAGUE CAPITAL MARKETS

CRD#: 170803

NEW YORK, NY

Past

December 7, 2016 - May 25, 2017

FIRST STANDARD FINANCIAL COMPANY LLC

CRD#: 168340

New York, NY

Past

April 13, 2010 - December 31, 2014

KATALYST SECURITIES LLC

CRD#: 112494

NEW YORK, NY

Past

June 13, 2007 - April 13, 2010

UU EQUITIES, INC.

CRD#: 142808

BROOKLYN, NY

Past

August 26, 2003 - November 7, 2005

PARKER FINANCIAL CORP.

CRD#: 42140

VALLEY COTTAGE, NY

Past

April 20, 1995 - August 28, 2001

FIRST LIBERTY INVESTMENT GROUP, INC.

CRD#: 3536

PHILADELPHIA, PA

Past

February 24, 1994 - February 8, 1995

CROWN FINANCIAL GROUP, INC.

CRD#: 540

JERSEY CITY, NJ

Past

August 17, 1982 - July 2, 1984

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

July 1, 1975 - April 30, 1982

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 2/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/25/2024

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 3/25/2024

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 5/25/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1993

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 6/25/1975

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/25/2024

General Securities Principal Examination

Current Firm

LEAGUE CAPITAL MARKETS

FORT GHENT BROKERAGE LLC | LEAGUE CAPITAL MARKETS

CRD#: 170803 / SEC#: , 8-69432

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1345 Avenue Of The Americas 2nd Floor, New York, NY 10105

Mailing Address

1345 Avenue Of The Americas 2nd Floor, New York, NY 10105

Phone number

(212) 588-0580

Established

New York since 11/01/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (14 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LEAGUEMED ENTERPRISES, LLC	OWNER
DAUSEND, DOROTHY THERESA	SUPERVISORY PRINCIPAL	1326747
GALLAGHER, JOHN JOSEPH JR	CEO	3128509
MACK, ALEXANDER HERBERT	FINOP	4805607
MACK, DAVID	PRESIDENT	2164969
URQUIOLA, JEAN CAROL	CCO, VICE PRESIDENT	1806619

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.

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Advisor Monitoring

Firm Stability Insights

Sheldon S. Traube

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST STANDARD FINANCIAL COMPANY LLC

KATALYST SECURITIES LLC

UU EQUITIES, INC.

PARKER FINANCIAL CORP.

FIRST LIBERTY INVESTMENT GROUP, INC.

CROWN FINANCIAL GROUP, INC.

THOMSON MCKINNON SECURITIES INC.

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/7/1994

Series 7TO

Date: 3/25/2024

Series 79TO

Date: 3/25/2024

SIE

Date: 5/25/2017

Series 7

Date: 12/17/1993

Series 1

Date: 6/25/1975

Series 24

Date: 3/25/2024

Current Firm

LEAGUE CAPITAL MARKETS

Contact information

FINRA licenses (14 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

LEAGUE CAPITAL MARKETS

TRUST BUT VERIFY

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