Nicoletta Funteas
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.
Nicoletta Funteas, who also goes by Nicoletta Vasilopoulos, was a registered financial professional .
Nicoletta is a previously registered financial professional and started their career in finance in 2014. Nicoletta had worked at 2 firms and has passed the Series 66, 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
December 1, 2014 - September 23, 2022
E. A. HORWITZ LLC
August 15, 2014 - September 15, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
Primary Firm SEC Registration
E. A. HORWITZ LLC
CRD#: 165561 / SEC#: 801-77366
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
E. A. HORWITZ LLC
CRD#: 165561 / SEC#: 801-77366
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 369 |
| AUM (Assets Under Management) | $ 221,419,170 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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