Craig T. Feltz
Professional summary
Craig Tyson Feltz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Craig is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Craig had worked at 7 firms, which includes GREAT EASTERN SECURITIES INC., A.B. WATLEY DIRECT INC., A.B. WATLEY INC., TRINIX SECURITIES LLC, RUMSON CAPITAL LLC, SCHONFELD SECURITIES LLC, KENSINGTON WELLS INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2003 - July 25, 2005
GREAT EASTERN SECURITIES, INC.
July 18, 2002 - March 11, 2003
A.B. WATLEY DIRECT, INC.
June 24, 2002 - March 11, 2003
A.B. WATLEY, INC.
November 13, 2000 - June 10, 2002
TRINIX SECURITIES LLC
October 9, 1998 - August 10, 2000
RUMSON CAPITAL, LLC
December 5, 1996 - August 28, 1998
SCHONFELD SECURITIES, LLC
February 9, 1994 - August 16, 1996
KENSINGTON WELLS 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 55
Date: 4/12/1999
Limited Representative-Equity Trader ExamCurrent Firm
GREAT EASTERN SECURITIES, INC.
CRD#: 2061 / SEC#: , 8-16880
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
| Arbitration | 5 |
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.
