Afua B. Akompong
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.
Afua Baadua Akompong, who also goes by Afua B Akompong, Afua Baadua Benefo, was a registered financial professional .
Afua is a previously registered financial professional and started their career in finance in 2003. Afua had worked at 9 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 4, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2021 - September 17, 2025
PERSHING LLC
August 8, 2019 - May 11, 2021
J.P. MORGAN SECURITIES LLC
July 9, 2019 - May 11, 2021
J.P. MORGAN SECURITIES LLC
June 2, 2017 - June 17, 2019
BMO CAPITAL MARKETS CORP.
April 17, 2013 - January 13, 2016
J.P. MORGAN SECURITIES LLC
September 22, 2011 - November 15, 2012
CITIGROUP GLOBAL MARKETS INC.
September 22, 2011 - November 15, 2012
CITIGROUP GLOBAL MARKETS INC.
June 1, 2009 - September 12, 2011
MORGAN STANLEY
June 1, 2009 - September 12, 2011
MORGAN STANLEY
February 25, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
May 23, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
August 2, 2004 - March 21, 2006
J.P. MORGAN SECURITIES INC.
May 21, 2003 - August 2, 2004
BANC ONE CAPITAL MARKETS, 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
Series 52TO
Date: 8/1/2023
Municipal Securities Representative ExaminationCurrent Firm
PERSHING LLC
CRD#: 7560 / SEC#: , 8-17574
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
