Samuel Lieberman
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.
Samuel Lieberman, who also goes by Sam Lieberman, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1976. Samuel had worked at 6 firms and has passed the Series 63, Series 65, Series 7 and PC exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2012 - May 29, 2013
INVESTORS CAPITAL CORP.
January 24, 2012 - May 29, 2013
INVESTORS CAPITAL CORP.
February 22, 2008 - August 2, 2010
OPPENHEIMER & CO. INC.
September 10, 2007 - September 10, 2007
OPPENHEIMER & CO. INC.
July 26, 2007 - August 2, 2010
OPPENHEIMER & CO. INC.
February 22, 2005 - August 13, 2007
LIEBERMAN FINANCIAL MANAGEMENT INC
October 14, 1994 - May 14, 1999
UBS FINANCIAL SERVICES INC.
October 3, 1985 - October 19, 1994
KIDDER, PEABODY & CO. INCORPORATED
December 1, 1976 - October 9, 1985
PIPER SANDLER & CO.
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: 9/1/1977
AMEX Put and Call ExamCurrent Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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