Ryan D. Pasquale
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.
Ryan Douglas Pasquale was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2006. Ryan had worked at 3 firms and has passed the Series 63, Series 66, SIE, Series 79 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
October 31, 2012 - December 11, 2014
H2C SECURITIES INC.
September 13, 2011 - September 21, 2011
MORGAN KEEGAN & COMPANY, LLC
February 28, 2007 - May 20, 2008
CHARLES SCHWAB & CO., INC.
October 30, 2006 - May 20, 2008
CHARLES SCHWAB & CO., 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
Current Firm
H2C SECURITIES INC.
CRD#: 7169 / SEC#: , 8-19993
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DONOVAN, KIMBERLY | CHIEF COMPLIANCE OFFICER | 4586476 |
Disclosures
| Regulatory Event | 2 |
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.
