Anthony A. Horpel
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 Agramonte Horpel, who also goes by Anthony A Horpel, Tony Horpel, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1989. Anthony had worked at 13 firms and has passed the Series 63, 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
March 30, 2006 - November 2, 2006
QA3 FINANCIAL CORP.
July 8, 2002 - March 30, 2006
GREAT NORTHERN FINANCIAL SECURITIES, INC.
July 26, 2001 - August 6, 2002
FIRST MONTAUK SECURITIES CORP.
February 5, 1998 - July 24, 2001
METROPOLITAN INVESTMENT SECURITIES, INC.
December 16, 1996 - February 9, 1998
SAN CLEMENTE SECURITIES, INC.
July 29, 1996 - August 27, 1996
NYLIFE SECURITIES LLC
October 4, 1995 - June 13, 1996
FIRST INTERSTATE INVESTMENTS,INC.
August 7, 1995 - September 18, 1997
INVESTORS CAPITAL CORP.
June 1, 1994 - July 7, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 17, 1993 - May 3, 1994
GATEWAY INVESTMENT SERVICES, INC.
October 7, 1993 - December 31, 1993
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 3, 1993 - September 21, 1993
NORTH AMERICAN MANAGEMENT, INC.
January 4, 1991 - December 18, 1992
NORTH AMERICAN MANAGEMENT, INC.
July 5, 1989 - December 31, 1990
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
QA3 FINANCIAL CORP.
CRD#: 14754 / SEC#: , 8-31155
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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