Anna Florek
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.
Anna Florek, who also goes by Anna G Florek, Anna Grazyna Florek, was a registered financial professional .
Anna is a previously registered financial professional and started their career in finance in 2003. Anna had worked at 3 firms and has passed the SIE 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
January 26, 2010 - November 13, 2015
HAPOALIM SECURITIES USA, INC.
July 24, 2008 - May 28, 2009
MORGAN STANLEY & CO. LLC
August 25, 2003 - July 25, 2008
J.P. MORGAN SECURITIES 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
HAPOALIM SECURITIES USA, INC.
CRD#: 266 / SEC#: , 8-3018
Contact information
Documents
Disclosures
| Regulatory Event | 32 |
| Civil Event | 1 |
| Arbitration | 6 |
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.
