Anton V. Schutz
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.
Anton Villars Schutz, who also goes by Anton Schutz, was a registered financial professional .
Anton is a previously registered financial professional and started their career in finance in 1994. Anton had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 3, Series 7, Series 52 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
July 7, 2009 - February 22, 2016
BURNHAM SECURITIES INC.
July 23, 2002 - July 12, 2007
MOORS & CABOT, INC.
March 9, 2002 - August 1, 2002
RBC CAPITAL MARKETS, LLC
July 6, 2000 - March 9, 2002
TUCKER ANTHONY INCORPORATED
April 30, 1997 - June 30, 2000
BURNHAM SECURITIES INC.
June 5, 1996 - May 30, 1997
GRAYSON FINANCIAL LLC
January 20, 1994 - August 21, 1996
J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, 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
Series 55
Date: 4/30/2000
Limited Representative-Equity Trader ExamCurrent Firm
BURNHAM SECURITIES INC.
CRD#: 22549 / SEC#: 801-65646, 8-39788
Contact information
Disclosures
| Regulatory Event | 6 |
Red Flags
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