Jay S. Silverberg
Professional summary
Jay Steven Silverberg was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jay is a previously registered financial professional and started their career in finance in 1975. Prior to being barred, Jay had worked at 6 firms, which includes ROUND HILL SECURITIES INC., M.L. STERN & CO. LLC., SUTRO & CO. INCORPORATED, UBS FINANCIAL SERVICES INC., LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 1999 - February 22, 2001
ROUND HILL SECURITIES, INC.
January 31, 1999 - March 23, 1999
M.L. STERN & CO., LLC.
October 5, 1995 - January 6, 1999
SUTRO & CO. INCORPORATED
January 22, 1990 - September 22, 1995
UBS FINANCIAL SERVICES INC.
February 15, 1988 - February 12, 1990
LEHMAN BROTHERS INC.
November 20, 1975 - February 15, 1988
E. F. HUTTON & COMPANY INC
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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 8
Date: 6/1/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ROUND HILL SECURITIES, INC.
CRD#: 35223 / SEC#: , 8-46591
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROUND HILL HOLDINGS, INC. | OWNER | |
| ANTONIADES, ADAM NICHOLAS | PRESIDENT/CEO/DIRECTOR | 2261744 |
| DORN, DIANA GAYLE | SVP, CROP, CHIEF COMPLIANCE OFFICER | 1088981 |
| EMFINGER, TERRY LEWIS | EXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/DIRECTOR | 2206745 |
| LENHARDT, ARTHUR WILLIAM | SENIOR VICE PRESIDENT, SROP | 306553 |
| SBOTO, THOMAS JOSEPH | EXECUTIVE VICE PRESIDENT | 1497190 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
