Harry A. Tsantes
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.
Harry Anthony Tsantes was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1982. Harry had worked at 1 firm and has passed the Series 63, Series 3, Series 5 and Series 7 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, 1982 - February 11, 1987
MF GLOBAL 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
Series 5
Date: 5/5/1982
Interest Rate Options ExaminationCurrent Firm
MF GLOBAL INC.
CRD#: 6731 / SEC#: , 8-18104
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MF GLOBAL HOLDING USA INC | SHAREHOLDER | |
| ABELOW, BRADLEY IRA | DIRECTOR AND EVP | 1983124 |
| CORZINE, JON STEVENS | PRESIDENT AND CEO | 811812 |
| FERBER, LAURIE RUTH | DIRECTOR | 1687254 |
| FORLENZA, PETER CHARLES | SENIOR VICE PRESIDENT | 2366985 |
| LOWERY-WHILLE, TRACY ANN | CHIEF COMPLIANCE OFFICER AND SVP | 2872693 |
| MACDONALD, JOHN RANALD | DIRECTOR AND EVP | 2540475 |
| SERWINSKI, CHRISTINE ANN | CFO & FINOP & SVP | 4169392 |
Disclosures
| Regulatory Event | 37 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
