Tony S. Ahn
Professional summary
Tony Sangeun Ahn was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Tony is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Tony had worked at 6 firms, which includes HUNTER WORLD MARKETS INC., GOLDMAN SACHS & CO. LLC, HELIX INVESTMENT PARTNERS LLC, LUCIA SECURITIES LLC, COWEN PRIME SERVICES TRADING LLC, W.R. HAMBRECHT + CO. LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2005 - May 28, 2008
HUNTER WORLD MARKETS, INC.
June 24, 2005 - August 5, 2005
GOLDMAN SACHS & CO. LLC
February 28, 2005 - May 23, 2005
HELIX INVESTMENT PARTNERS LLC
July 8, 2004 - May 23, 2005
LUCIA SECURITIES, LLC
July 31, 1999 - June 22, 2004
COWEN PRIME SERVICES TRADING LLC
May 24, 1999 - July 27, 1999
W.R. HAMBRECHT + CO., LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 1/21/2000
Limited Representative-Equity Trader ExamCurrent Firm
HUNTER WORLD MARKETS, INC.
CRD#: 38755 / SEC#: , 8-48387
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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