Audrey A. Atienza
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.
Audrey Angeles Atienza was a registered financial professional .
Audrey is a previously registered financial professional and started their career in finance in 1994. Audrey had worked at 2 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
January 8, 2001 - April 25, 2001
SCUDDER WEISEL CAPITAL, LLC
February 14, 1994 - December 31, 2000
DEAM INVESTOR SERVICES, 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
SCUDDER WEISEL CAPITAL, LLC
CRD#: 104088 / SEC#: , 8-52544
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCUDDER WEISEL CAPITAL HOLDINGS LLC | OWNER | |
| BOCHAT, KENNETH FRANKLIN | COMPLIANCE DIRECTOR | 2467432 |
| DEMPSEY, JAMES JOSEPH | DIRECTOR OF BROKERAGE OPERATIONS | 1395637 |
| FELLOWS, BOYD WILLIAMS JR | CEO | 1850036 |
| FORD, ISABEL JANE | VICE PRESIDENT | 2355128 |
| GERTH, ERICH PAUL | CHIEF INTERMEDIARY DISTRIBUTION OFFICER | 1484380 |
| MATTOON, PETER HENLEY | PRESIDENT | 1309738 |
| NORDQUIST, CHRISTOPHER ERIC | GENERAL COUNSEL | 4127356 |
| QUINN, ROBERT SCOTT | SENIOR COMPLIANCE OFFICER/CROP | 2870179 |
| SANTOS, WILSON | CHIEF CUSTOMER OFFICER | 2822467 |
| SLAVET, BENJAMIN DAVID | FIN OP | 4272038 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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