Happy J. Acee
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.
Happy John Acee was a registered financial professional .
Happy is a previously registered financial professional and started their career in finance in 2018. Happy had worked at 10 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2019 - May 27, 2020
CFWP SECURITIES, LLC
October 23, 2019 - September 17, 2020
CASTLEOAK SECURITIES, LP
October 23, 2019 - November 9, 2020
SUNRISE BROKERS LLC
October 23, 2019 - November 9, 2020
MINT BROKERS
October 23, 2019 - November 9, 2020
GFI SECURITIES LLC
October 23, 2019 - November 9, 2020
FMX EXECUTION, LLC
October 23, 2019 - November 9, 2020
CF SECURED, LLC
October 23, 2019 - November 9, 2020
BGC FINANCIAL, L.P.
October 23, 2019 - November 9, 2020
AQUA SECURITIES L.P.
September 24, 2018 - November 9, 2020
CANTOR FITZGERALD & CO.
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
CFWP SECURITIES, LLC
CRD#: 170228 / SEC#: , 8-69415
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANTOR FITZGERALD WEALTH PARTNERS HOLDINGS, LLC | PARENT COMPANY | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| KAPLAN, MARK ELLIOT | CHIEF EXECUTIVE OFFICER | 2618079 |
| PAULSON, KENNETH MICHAEL | CHIEF FINANCIAL OFFICER | 2862259 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
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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