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Tibor Robert Komoroczy

CRD# 1224670·Registered 1984 - 1995
Previously Registered: Being a previously registered professional could mean that Tibor 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.

Professional Summary

Tibor Robert Komoroczy was a registered financial advisor. Tibor was a previously registered financial professional and started their career in finance 1984 - 1995. Tibor had worked at 8 firms and has passed the Series 63, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

42 years registered in the securities industry

Current & Past Employments

Past

HANSON ANDERSON SECURITIES CORPORATIONPast·CRD# 10629
BD
Las Vegas, NV
August 22, 1995 - September 13, 1995
ROTH CAPITAL PARTNERS, LLCPast·CRD# 15407
BD
Newport Beach, CA
June 29, 1992 - March 10, 1995
PRUDENTIAL EQUITY GROUP, LLCPast·CRD# 7471
BD
New York, NY
June 4, 1992 - June 12, 1992
CITIGROUP GLOBAL MARKETS INC.Past·CRD# 7059
BD
New York, NY
May 15, 1989 - May 27, 1992
DREXEL BURNHAM LAMBERT INCORPORATEDPast·CRD# 7323
BD
September 23, 1986 - June 6, 1989
UBS FINANCIAL SERVICES INC.Past·CRD# 8174
BD
April 2, 1985 - August 28, 1986
LEHMAN BROTHERS INC.Past·CRD# 7506
BD
April 5, 1984 - April 12, 1985
MORGAN STANLEY DW INC.Past·CRD# 7556
BD
March 1, 1984 - May 9, 1984

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Current Firm

HA
HANSON ANDERSON SECURITIES CORPORATION

EDEN HANNON ARMSTRONG SECURITIES CORPORATION | HANSON ANDERSON SECURITIES CORPORATION | HANNON ARMSTRONG SECURITIES CORPORATION | EHG SECURITIES CORPORATION

CRD#: 10629 / SEC#: 8-27699
BD
Terminated by SEC on 10/01/1999

Contact Information

Established

Virginia since 03/11/1982

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1984About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Nov 1986About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jan 1984About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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