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Anthony M. Westonsmart

Some features on this profile are disabled
CRD#: 2046085
AW

Professional summary

Anthony Martin Westonsmart was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Anthony is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Anthony had worked at 8 firms, which includes ROUND HILL SECURITIES INC., MIRAMAR SECURITIES LLC, SECURITIES AMERICA INC., INVESTORS ASSOCIATES INC., PARAGON CAPITAL MARKETS INC., REPUBLIC SECURITIES INC., FIRST ASSET MANAGEMENT INC., CHATFIELD DEAN & CO. INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 15, 1999 - August 17, 1999

ROUND HILL SECURITIES, INC.

BD
CRD#: 35223
ALAMO, CA
Past

August 30, 1995 - June 3, 1999

MIRAMAR SECURITIES, LLC

BD
CRD#: 37955
ALPHARETTA, GA
Past

February 17, 1995 - July 19, 1995

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

June 24, 1993 - February 13, 1995

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ
Past

January 8, 1993 - May 19, 1993

PARAGON CAPITAL MARKETS, INC.

BD
CRD#: 18555
EAST HANOVER, NJ
Past

November 25, 1992 - December 1, 1992

REPUBLIC SECURITIES, INC.

BD
CRD#: 15043
Past

November 25, 1992 - December 8, 1992

FIRST ASSET MANAGEMENT, INC.

BD
CRD#: 17341
GARDEN CITY, NY
Past

July 23, 1992 - October 20, 1992

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/18/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/22/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/25/1997
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/5/1994
General Securities Principal Examination

Current Firm

RH
ROUND HILL SECURITIES, INC.
ROUND HILL SECURITIES, INC. | WALL STREET FINANCIAL SERVICES

CRD#: 35223 / SEC#: , 8-46591

BD
Terminated by SEC on 08/22/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 09/29/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ROUND HILL HOLDINGS, INC.OWNER
ANTONIADES, ADAM NICHOLASPRESIDENT/CEO/DIRECTOR2261744
DORN, DIANA GAYLESVP, CROP, CHIEF COMPLIANCE OFFICER1088981
EMFINGER, TERRY LEWISEXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/DIRECTOR2206745
LENHARDT, ARTHUR WILLIAMSENIOR VICE PRESIDENT, SROP306553
SBOTO, THOMAS JOSEPHEXECUTIVE VICE PRESIDENT1497190

Disclosures

Regulatory Event4
Arbitration4

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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Company Information

ROUND HILL SECURITIES, INC.

CRD#: 35223

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