Albert P. Fosha
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.
Albert Peter Fosha SR, who also goes by Albert Peter Fosha, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1973. Albert had worked at 14 firms and has passed the Series 63, Series 62, Series 6, Series 22, Series 3, Series 1, Series 24, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2003 - December 31, 2004
WATERSTONE FINANCIAL GROUP, INC.
November 24, 2000 - November 29, 2001
ENERGY SECURITIES, INC.
December 12, 1990 - October 13, 1993
WATERSTONE FINANCIAL GROUP, INC.
October 26, 1989 - March 14, 1990
CAPITAL ENHANCEMENT GROUP, INC.
June 2, 1987 - May 30, 1989
LASALLE ST SECURITIES, L.L.C.
January 15, 1987 - May 2, 1987
LINSCO FINANCIAL GROUP, INC.
July 17, 1986 - January 15, 1987
RADFORD CAPITAL CORPORATION
September 6, 1984 - May 19, 1986
INVESTACORP, INC.
December 2, 1983 - August 30, 1984
PARLIAMENT SECURITIES CORP.
August 9, 1977 - April 29, 1986
FOSHA & ASSOCIATES, INC.
January 7, 1977 - June 24, 1977
STIX & CO., INC.
August 5, 1976 - January 20, 1977
MULLANEY EATON & CO.
January 27, 1975 - September 5, 1976
THE CHICAGO CORPORATION
September 26, 1974 - February 20, 1975
H. B. SHAINE & CO., INC.
November 13, 1973 - November 10, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
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 62
Date: 6/12/2004
Corporate Securities Limited Representative ExaminationSeries 1
Date: 11/7/1973
Registered Representative ExaminationF04
Date: 7/13/1977
Financial Principal ExaminationSeries 40
Date: 7/2/1975
Registered Principal ExaminationCurrent Firm
WATERSTONE FINANCIAL GROUP, INC.
CRD#: 10078 / SEC#: , 8-44243
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP, LLC | OWNER | |
| BROWN, STEPHANIE LEIGH | DIRECTOR | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER | 1821773 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VALTAIRO, PHILLIP BUHAY | CFO/FINOP | 4481362 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
