Albert L. Breithaupt
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.
Albert Leo Breithaupt JR, who also goes by Albert Leo Breithaupt, Albert Leo Jr Breithaupt, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1984. Albert had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2014 - October 3, 2023
KOVACK SECURITIES INC.
April 29, 2005 - October 15, 2014
RESOURCE HORIZONS GROUP LLC
January 1, 2004 - May 3, 2005
CETERA FINANCIAL SPECIALISTS LLC
December 1, 1997 - January 1, 2004
CAPITAL BROKERAGE CORPORATION
September 5, 1984 - December 1, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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