Brett A. Kantor
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.
Brett A Kantor was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1998. Brett had worked at 9 firms and has passed the Series 63 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
April 19, 2004 - May 27, 2004
WINDSOR STREET CAPITAL, LP
December 15, 2003 - March 26, 2004
NATIONAL SECURITIES CORPORATION
August 15, 2003 - October 13, 2003
INDIANAPOLIS SECURITIES, INC.
September 30, 2002 - December 5, 2002
GILFORD SECURITIES INCORPORATED
August 20, 2002 - October 17, 2002
PARK CAPITAL SECURITIES, LLC
August 8, 2002 - August 27, 2002
GLENN MICHAEL FINANCIAL, INC.
January 29, 2001 - May 31, 2002
WOODSTOCK FINANCIAL GROUP, INC.
October 9, 1998 - January 24, 2001
CARNEGIE INVESTOR SERVICES INC.
June 29, 1998 - September 14, 1998
GLOBAL CAPITAL MARKETS, LLC
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
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
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.
