Adam Weis
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.
Adam Weis was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1993. Adam had worked at 7 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2016 - January 22, 2019
WHITAKER SECURITIES LLC
March 31, 2016 - September 12, 2016
TAVIRA SECURITIES US LLC
January 9, 2012 - November 12, 2015
ABN AMRO CLEARING USA LLC
December 20, 2005 - December 8, 2011
MF GLOBAL INC.
September 23, 1997 - December 31, 2005
REFCO SECURITIES, LLC
April 26, 1996 - September 25, 1996
JULIUS BAER SECURITIES INC.
July 7, 1993 - November 13, 1995
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
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.
