Curtis D. Platt
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.
Curtis Duane Platt was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1989. Curtis had worked at 3 firms and has passed the Series 63, Series 7 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 2, 1990 - September 23, 1993
FLEMMING, ANDERSON, COHEN & LEE, INC.
April 10, 1990 - September 25, 1990
TRI-BRADLEY INVESTMENTS
December 19, 1989 - April 5, 1990
WILLIAM BARTON FINANCIAL, 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
Current Firm
FLEMMING, ANDERSON, COHEN & LEE, INC.
CRD#: 23121 / SEC#: , 8-40210
Contact information
Documents
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.
