Antoine Andre
Professional summary
Antoine Andre was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Antoine is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Antoine had worked at 5 firms, which includes QUICK & REILLY INC., AMERIPRISE ADVISOR SERVICES INC., DISCOVERY CAPITAL GROUP, MORGAN STANLEY DW INC., GRUNTAL & CO. L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2002 - March 25, 2003
QUICK & REILLY, INC.
September 18, 2001 - August 16, 2002
AMERIPRISE ADVISOR SERVICES, INC.
August 1, 2001 - September 17, 2001
DISCOVERY CAPITAL GROUP
March 2, 1999 - June 28, 2001
MORGAN STANLEY DW INC.
November 11, 1998 - February 2, 1999
GRUNTAL & CO., L.L.C.
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
QUICK & REILLY, INC.
CRD#: 11217 / SEC#: , 8-17986
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| QUICK & REILLY/FLEET SECURITIES, INC. | 100% SHAREHOLDER | |
| BOTT, ROBERT LAWRENCE | EXECUTIVE VICE PRESIDENT | 1079745 |
| CONWAY, JOSEPH FRANCIS | SROP | 1299116 |
| DORFMAN, BETH ELYSE | GENERAL COUNSEL & SECRETARY | 1299764 |
| GOLDMEER, MICHELE | SENIOR COUNSEL & ASSISTANT SECRETARY | 4273410 |
| GREGOR, STANLEY ANTHONY | PRESIDENT /CEO | 1672974 |
| LOUKAS, RONALD STANSBURY | MUNICIPAL PRINCIPAL | 1054716 |
| MATTIA, GERARD | CHIEF OPERATING OFFICER | 4728053 |
| MOYNIHAN, BRIAN | BOARD MEMBER | 4553207 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER | 1821188 |
| SCHRODER, ALAN ARTHUR SR. | DIRECTOR | 801763 |
| TEMPLE, CYNTHIA JO | CHIEF OPERATIONS OFFICER | 2444506 |
| WINTHER, TORBEN OLELERCHE | CHIEF COMPLIANCE OFFICER | 1821483 |
Disclosures
| Regulatory Event | 16 |
| Civil Event | 2 |
| Arbitration | 10 |
Red Flags
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