Thomas A. Hantges
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.
Thomas Andrew Hantges, who also goes by Tom Hantges, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 15, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 1997 - June 4, 1997
AMERICAN FRONTEER FINANCIAL CORPORATION
May 20, 1987 - September 26, 1995
USA CAPITAL
August 28, 1986 - May 19, 1987
USA SECURITIES, INC.
March 28, 1985 - November 4, 1986
RAUSCHER PIERCE REFSNES, INC.
November 1, 1984 - April 3, 1985
CITIGROUP GLOBAL MARKETS INC.
November 15, 1982 - November 1, 1984
PRUDENTIAL EQUITY GROUP, LLC
February 21, 1981 - November 22, 1982
RAUSCHER PIERCE REFSNES, 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 15
Date: 3/7/1983
Foreign Currency Options ExaminationCurrent Firm
AMERICAN FRONTEER FINANCIAL CORPORATION
CRD#: 1398 / SEC#: , 8-18200
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E-VISION USA.COM | SHAREHOLDER | |
| CHAN, TONGWAN | DIRECTOR AND MANAGING DIRECTOR OF CORPORATE FINANCE | 3011739 |
| COOK, GARY LYNN | CHIEF FINANCIAL OFFICER, DIRECTOR | 2735820 |
| FISHBEIN, STEVEN MICHAEL | DIRECTOR,VICE PRESIDENT & MANAGER TRADING DEPARTMENT | 843134 |
| HERRING, SARA FITZSIMMONS | DIRECTOR,VICE PRESIDENT OF COMPLIANCE | 1003754 |
| PADILLA, JOSE ANTONIO | DIRECTOR AND CHIEF OPERATING OFFICER | 1925223 |
| SALISBURY, JOANN ROBYN | SENIOR REGISTERED OPTIONS PRINCIPAL | 1037278 |
| TRAPP, ROBERT HERMAN | DIRECTOR AND PRESIDENT | 2246323 |
| ZUCKER, BRIAN FRED | DIRECTOR |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 19 |
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.
