Hans C. Egloff
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.
Hans Conrad Egloff was a registered financial professional .
Hans is a previously registered financial professional and started their career in finance in 1967. Hans had worked at 8 firms and has passed the Series 15, Series 41, Series 5, Series 000, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 1991 - November 18, 1991
ACCESS SECURITIES, LLC
January 23, 1989 - July 6, 1990
SWISS AMERICAN SECURITIES INC.
October 24, 1988 - January 1, 1989
ACCESS SECURITIES, LLC
September 20, 1988 - October 17, 1988
INTERVEST SECURITIES, INC.
August 4, 1982 - May 31, 1988
CLG INVESTMENT COMPANY, INC.
October 11, 1979 - August 19, 1982
KIDDER, PEABODY & CO. INCORPORATED
January 29, 1976 - June 29, 1979
CREDIT SUISSE SECURITIES (USA) LLC
December 20, 1974 - February 29, 1976
COLIN, HOCHSTIN CO.
June 12, 1967 - February 1, 1975
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 11/7/1985
Foreign Currency Options ExaminationSeries 41
Date: 9/30/1982
NYSE Allied Member ExaminationSeries 5
Date: 10/16/1981
Interest Rate Options ExaminationSeries 000
Date: 7/14/1967
General Securities Principal ExaminationSeries 1
Date: 7/9/1965
Registered Representative ExaminationSeries 40
Date: 10/7/1974
Registered Principal ExaminationCurrent Firm
ACCESS SECURITIES, LLC
CRD#: 22455 / SEC#: , 8-39729
Contact information
FINRA licenses (24 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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