Conrad R. Huss
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.
Conrad Richard Huss, who also goes by Conrad R Huss, was a registered financial professional .
Conrad is a previously registered financial professional and started their career in finance in 1990. Conrad had worked at 9 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
August 4, 2011 - January 2, 2013
OCEAN CROSS CAPITAL MARKETS LLC
November 1, 2006 - September 15, 2011
SOUTHRIDGE INVESTMENT GROUP LLC
January 14, 2005 - October 31, 2006
DU PASQUIER & CO., INC.
January 20, 2000 - December 7, 2000
HOBBS MELVILLE SECURITIES CORP.
March 26, 1999 - September 17, 1999
SOMERSET FINANCIAL GROUP, INC.
August 1, 1995 - February 1, 2000
AUERBACH, POLLAK & RICHARDSON INC.
May 10, 1995 - June 1, 1995
AUERBACH, POLLAK & RICHARDSON INC.
October 15, 1993 - May 11, 1995
TICONDEROGA SECURITIES LLC
October 25, 1991 - May 26, 1992
CREDIT AGRICOLE SECURITIES (USA) INC.
April 24, 1990 - June 18, 1991
LADENBURG THALMANN & CO. 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
OCEAN CROSS CAPITAL MARKETS LLC
CRD#: 156256 / SEC#: , 8-68777
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GLOBAL BRIDGE PARTNERS INC. | MEMBER | |
| SCHLOTH, WILLIAM EDWARD | CEO, CFO, FINOP, CCO | 2644188 |
Disclosures
| Regulatory Event | 1 |
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.
