Huriye Altan
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.
Huriye Altan was a registered financial professional .
Huriye is a previously registered financial professional and started their career in finance in 1993. Huriye had worked at 7 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2009 - November 9, 2012
CAPITAL ONE INVESTMENT SERVICES LLC
May 2, 2009 - June 29, 2009
CHASE INVESTMENT SERVICES CORP.
March 28, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
January 1, 2005 - June 7, 2007
HSBC SECURITIES (USA) INC.
March 26, 2003 - January 1, 2005
HSBC BROKERAGE (USA) INC.
April 12, 1995 - April 25, 2002
DIME SECURITIES, INC.
June 22, 1993 - December 12, 1994
INVEST FINANCIAL CORPORATION
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
CAPITAL ONE INVESTMENT SERVICES LLC
CRD#: 25658 / SEC#: , 8-41948
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| 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.
