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Shlomo Eli Baruch

Capital ONE Securities, Inc.

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About Shlomo Eli Baruch

Shlomo Eli Baruch is a financial advisor with Capital One Securities, Inc. in New York. He is registered with FINRA and has over 20 years of experience in the securities industry. Shlomo has held previous roles at Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC OF AMERICA SECURITIES LLC, Neuberger Berman, LLC, and Lehman Brothers Inc. Shlomo holds a Series 7, Series 63, Series 24, Series 79TO and SIE license. He is registered in 11 states including California, Connecticut, Florida, Illinois, Louisiana, Maryland, Massachusetts, New York, Pennsylvania, Texas, and Virginia.

Firm Information

Shlomo Baruch is currently registered with Capital ONE Securities, Inc.. Capital ONE Securities, Inc. is a Corporation formed in April 2000 and approved in multiple states, including California, Connecticut, Florida, Illinois, Louisiana, Maryland, Massachusetts, New York, Pennsylvania, Texas, and Virginia. They are also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

103

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Shlomo Baruch’s Registration & Firm History

NY

06/29/2015 - Present

Capital ONE Securities, Inc. (New York NY)

NY

11/01/2010 - 06/01/2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

03/24/2010 - 11/01/2010

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

09/19/2008 - 03/03/2009

NEUBERGER BERMAN, LLC (NEW YORK NY)

NY

11/29/2001 - 09/24/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/16/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/03/2015

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/28/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Shlomo Eli Baruch.
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