Anthony M. Westonsmart
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 1999 - August 17, 1999
ROUND HILL SECURITIES, INC.
August 30, 1995 - June 3, 1999
MIRAMAR SECURITIES, LLC
February 17, 1995 - July 19, 1995
SECURITIES AMERICA, INC.
June 24, 1993 - February 13, 1995
INVESTORS ASSOCIATES, INC.
January 8, 1993 - May 19, 1993
PARAGON CAPITAL MARKETS, INC.
November 25, 1992 - December 1, 1992
REPUBLIC SECURITIES, INC.
November 25, 1992 - December 8, 1992
FIRST ASSET MANAGEMENT, INC.
July 23, 1992 - October 20, 1992
CHATFIELD DEAN & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
ROUND HILL SECURITIES, INC.
CRD#: 35223 / SEC#: , 8-46591
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROUND HILL HOLDINGS, INC. | OWNER | |
| ANTONIADES, ADAM NICHOLAS | PRESIDENT/CEO/DIRECTOR | 2261744 |
| DORN, DIANA GAYLE | SVP, CROP, CHIEF COMPLIANCE OFFICER | 1088981 |
| EMFINGER, TERRY LEWIS | EXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/DIRECTOR | 2206745 |
| LENHARDT, ARTHUR WILLIAM | SENIOR VICE PRESIDENT, SROP | 306553 |
| SBOTO, THOMAS JOSEPH | EXECUTIVE VICE PRESIDENT | 1497190 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
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