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Registration History
198519901995200020052010201520202025IASALEM ASSET MANAGEMENT (CRD# 134309)2022 - Present (2 years)BCATALYST FINANCIAL (CRD# 45025)2002 - 2005 (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1987 - 2001 (14 years)BFIRST INVESTORS CORPORATION (CRD# 305)1985 - 1985 (<1 year)
Disclosure(s)
View By:
11/20/2002
Regulatory
Final
10/7/2002
Customer Dispute
Settled
10/4/2002
Customer Dispute
Settled
5/31/2001
Employment Separation After Allegations
11/13/2000
Customer Dispute
Settled
License(s)

State Registrations

IA
New York 4/15/2022

Current Registration(s)
IA
SALEM ASSET MANAGEMENT (CRD#:134309)
SOUTH SALEM, NY
Registered with this firm since 4/15/2022

Previous Registration(s)
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B
10/22/2002 - 01/24/2005 CATALYST FINANCIAL (CRD#:45025) SIMI VALLEY, CA
B
03/24/1987 - 06/22/2001 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
06/10/1985 - 10/14/1985 FIRST INVESTORS CORPORATION (CRD#:305)
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Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.