Adam H. Warga
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 Howard Warga, who also goes by Adam Warga, Avi H Warga, Avraham Warga, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1995. Adam had worked at 14 firms and has passed the Series 66, 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
November 1, 2017 - July 26, 2018
TRADESPOT MARKETS INC.
April 28, 2015 - October 30, 2015
BOUSTEAD SECURITIES, LLC
November 7, 2014 - January 2, 2015
T3 TRADING GROUP, LLC
August 18, 2014 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
March 2, 2011 - December 31, 2012
SPENCER EDWARDS, INC.
January 20, 2011 - February 28, 2011
CAPITAL PATH SECURITIES, LLC
January 11, 2011 - February 11, 2011
MERRIMAC CORPORATE SECURITIES, INC.
April 14, 2009 - December 31, 2010
J.H. DARBIE & CO., INC.
August 29, 2008 - March 23, 2009
EQUINOX SECURITIES, INC.
March 28, 2008 - August 27, 2008
PRIVATE EQUITY SECURITIES, INC.
January 3, 2008 - March 28, 2008
THOMAS ANTHONY & ASSOCIATES , INC.
December 19, 2007 - January 10, 2008
NEWBRIDGE SECURITIES CORPORATION
July 9, 2007 - December 31, 2007
REGAL SECURITIES, INC.
May 24, 1995 - July 23, 2007
BISHOP, ROSEN & CO., 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
TRADESPOT MARKETS INC.
CRD#: 29683 / SEC#: , 8-44483
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BELOYAN, MARK BEDROS | PRESIDENT, CHIEF COMPLIANCE OFFICER,CFO, FINOP, POO, PFO | 1392748 |
| CRONUS EQUITY CAPITAL INVESTMENTS, LLC. | OWNER |
Disclosures
| Regulatory Event | 3 |
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.
