Ethan M. Topper
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.
Ethan Michael Topper, who also goes by Ethan Michael Topper Mr., was a registered financial professional .
Ethan is a previously registered financial professional and started their career in finance in 1993. Ethan had worked at 8 firms and has passed the Series 63, Series 79TO, SIE, 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
November 18, 2016 - December 12, 2022
ATLAS TECHNOLOGY GROUP LLC
June 30, 2011 - October 12, 2016
CITIGROUP GLOBAL MARKETS INC.
January 9, 2007 - May 13, 2011
UNION SQUARE ADVISORS LLC
July 5, 2006 - August 13, 2007
LEGEND MERCHANT GROUP, INC.
November 3, 2000 - September 20, 2002
PERSHING LLC
October 9, 1998 - April 25, 2005
CREDIT SUISSE SECURITIES (USA) LLC
August 13, 1996 - July 9, 1998
DEUTSCHE BANK SECURITIES INC.
April 23, 1993 - May 7, 1996
MORGAN STANLEY & CO. LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
ATLAS TECHNOLOGY GROUP LLC
CRD#: 152828 / SEC#: , 8-68480
Contact information
FINRA licenses (2 States and Territories)
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.
