Anthony D. Schupp
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.
Anthony Douglas Schupp, who also goes by A Douglas Schupp, Anthony D E Schupp, Douglas Edward Schupp, Douglas Schupp, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1984. Anthony had worked at 15 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 1999 - December 31, 1999
NORTHSTAR SECURITIES, INC.
January 28, 1999 - March 10, 1999
FORESTERS EQUITY SERVICES, INC.
March 21, 1997 - July 31, 1998
MM ASCEND LIFE INVESTOR SERVICES, LLC
August 20, 1996 - March 25, 1997
INVESTORS CAPITAL CORP.
April 5, 1996 - August 20, 1996
VOYA FINANCIAL ADVISORS, INC.
November 7, 1995 - February 28, 1996
OSAIC WEALTH, INC.
March 28, 1995 - November 15, 1995
WMA SECURITIES, INC.
October 11, 1993 - April 18, 1995
FFP SECURITIES, INC.
April 24, 1993 - October 20, 1993
LEGEND CAPITAL CORPORATION
April 4, 1991 - April 22, 1993
NORTH AMERICAN MANAGEMENT, INC.
May 16, 1990 - February 27, 1991
SECURITIES AMERICA, INC.
November 2, 1988 - April 13, 1989
INVESTACORP, INC.
February 3, 1987 - November 11, 1988
WALNUT STREET SECURITIES, INC.
December 12, 1985 - January 12, 1987
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 11, 1984 - November 15, 1985
MML INVESTORS SERVICES, LLC
June 13, 1984 - July 16, 1984
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
Current Firm
NORTHSTAR SECURITIES, INC.
CRD#: 11247 / SEC#: , 8-21268
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
