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AF

Antonio P. Ferreira

Some features on this profile are disabled
CRD#: 2570535
AF

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.

Antonio Pedro Ferreira, who also goes by Tony Ferreira, was a registered financial professional .

Antonio is a previously registered financial professional and started their career in finance in 1995. Antonio had worked at 10 firms and has passed the Series 63, Series 62, Series 22 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tony Ferreira

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 1, 2010 - November 8, 2012

TWS FINANCIAL, LLC.

BD
CRD#: 128572
BROOKLYN, NY
Past

January 3, 2007 - March 31, 2010

SYNERGY INVESTMENT GROUP, LLC

BD
CRD#: 46035
CHARLOTTE, NC
Past

January 2, 2003 - December 31, 2006

SAMCO FINANCIAL SERVICES, INC.

BD
CRD#: 30108
PHOENIX, AZ
Past

June 28, 2002 - December 31, 2002

INVESTIN SECURITIES CORP.

BD
CRD#: 39295
DALLAS, TX
Past

September 28, 2001 - October 10, 2001

AMEREST SECURITIES, INC.

BD
CRD#: 40201
DALLAS, TX
Past

January 17, 2001 - June 18, 2002

RUSHMORE SECURITIES CORPORATION

BD
CRD#: 8392
DALLAS, TX
Past

July 24, 1998 - February 26, 2001

NORTHSTAR SECURITIES, INC.

BD
CRD#: 11247
DALLAS, TX
Past

March 11, 1996 - December 9, 1998

DOMINION CAPITAL CORPORATION

BD
CRD#: 18837
DALLAS, TX
Past

April 12, 1995 - March 13, 1996

RETIREMENT INVESTMENT GROUP

BD
CRD#: 7421
HOUSTON, TX
Past

January 7, 1995 - May 31, 1995

LANE HARTMAN SECURITIES, INC.

BD
CRD#: 36817

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/16/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 7/3/1995
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 12/19/1994
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/3/2007
General Securities Principal Examination

Current Firm

TF
TWS FINANCIAL, LLC.
ECN TRADING, LLC | TWS FINANCIAL, LLC. | TRADEX | TRADE WALL STREET INTERNATIONAL | TRADE WALL STREET FINANCIAL | TRADE WALL STREET

CRD#: 128572 / SEC#: , 8-66158

BD
Terminated by SEC on 01/08/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/13/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
INNOVEST HOLDINGS, LLCDIRECT OWNER
SLEDZIEJOWSKI, ROMAN JERZYCHIEF EXECUTIVE OFFICER3141438
SLEDZIEJOWSKI, ROMAN JERZYCHIEF COMPLIANCE OFFICER3141438

Disclosures

Regulatory Event8
Financial1

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.

Company Information

TWS FINANCIAL, LLC.

CRD#: 128572

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