Yoshimitsu Hori
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.
Yoshimitsu Hori was a registered financial professional .
Yoshimitsu is a previously registered financial professional and started their career in finance in 2006. Yoshimitsu had worked at 5 firms and has passed the SIE, Series 55 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
June 13, 2011 - December 22, 2015
GREAT POINT CAPITAL LLC
April 8, 2011 - June 16, 2011
AVATAR SECURITIES, LLC
November 24, 2006 - June 30, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
August 25, 2006 - November 30, 2006
ATLAS TRADING
May 1, 2006 - August 25, 2006
G-2 TRADING,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
Series 55
Date: 7/9/2007
Limited Representative-Equity Trader ExamCurrent Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
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.
