Theodore V. Abbruzzese
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.
Theodore Vincent Abbruzzese was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1970. Theodore had worked at 5 firms and has passed the Series 63, Series 1, Series 4, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 1989 - March 27, 1998
AMERICAN FRONTEER FINANCIAL CORPORATION
November 23, 1982 - January 11, 1990
WALL STREET WEST, INC.
January 12, 1978 - June 17, 1980
WALL STREET WEST, INC.
October 16, 1975 - September 13, 1977
BOSWORTH SULLIVAN & COMPANY INCORPORATED
February 21, 1974 - November 3, 1975
THE MILWAUKEE COMPANY
March 26, 1970 - October 17, 1973
WILLIAM BLAIR
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 1
Date: 3/11/1970
Registered Representative ExaminationF04
Date: 1/13/1978
Financial Principal ExaminationSeries 40
Date: 5/8/1974
Registered Principal ExaminationCurrent Firm
AMERICAN FRONTEER FINANCIAL CORPORATION
CRD#: 1398 / SEC#: , 8-18200
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E-VISION USA.COM | SHAREHOLDER | |
| CHAN, TONGWAN | DIRECTOR AND MANAGING DIRECTOR OF CORPORATE FINANCE | 3011739 |
| COOK, GARY LYNN | CHIEF FINANCIAL OFFICER, DIRECTOR | 2735820 |
| FISHBEIN, STEVEN MICHAEL | DIRECTOR,VICE PRESIDENT & MANAGER TRADING DEPARTMENT | 843134 |
| HERRING, SARA FITZSIMMONS | DIRECTOR,VICE PRESIDENT OF COMPLIANCE | 1003754 |
| PADILLA, JOSE ANTONIO | DIRECTOR AND CHIEF OPERATING OFFICER | 1925223 |
| SALISBURY, JOANN ROBYN | SENIOR REGISTERED OPTIONS PRINCIPAL | 1037278 |
| TRAPP, ROBERT HERMAN | DIRECTOR AND PRESIDENT | 2246323 |
| ZUCKER, BRIAN FRED | DIRECTOR |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 19 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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