Andover Takeover

Bob,

I don't beleive a U-4 would say the time you worked on the floor. I think it only says the firm you worked for.

I mean heck I could have worked for Goldie, been a mail clerk and no one would know.

Just trying to get the facts , nothing but the facts.

 

Public Information:
PREVIOUS EMPLOYMENT


This section provides 10 years of an individual's employment history. If the individual is currently registered with NASD, employment history will be displayed for the previous 10 years. If the individual is not currently registered with NASD, employment history will be displayed for the 10 years prior to termination of the registration. The firm's CRD number, the office of employment address where the broker was employed, and the dates of employment will be displayed.


If the broker was previously employed with an investment adviser, the investment adviser's name and CRD number will display. However, additional information is not available on investment advisers through the Public Disclosure Program as they are not NASD registered firms.

If the broker was previously employed with a firm registered with any self-regulatory organization other than NASD (e.g., the NYSE), either the firm's name or "Other Business" will display as the Employing Firm. To obtain the firm's name when "Other Business" displays as the Employing Firm, please call the Public Disclosure Call Center Hotline number, 1-800-289-9999.

A Firm CRD Number will not display for employing firms that are not NASD registered firms. Information on these employing firms is not available through the Public Disclosure Program.


Employing Firm: ECHO TRADE
Firm CRD Number:
Office of Employment
Address: SAN DEIGO, CA
Start Date: 01/2000
End Date: 08/2002

Employing Firm: POSTION SIZING TECH
Firm CRD Number:
Office of Employment
Address: RENO, NV
Start Date: 03/1999
End Date: 04/2000

Employing Firm: UNEMPLOYED
Firm CRD Number:
Office of Employment
Address: SOLANA BEACH, CA
Start Date: 09/1998
End Date: 02/1999

Employing Firm: IDS LIFE INSURANCE COMPANY
Firm CRD Number:
Office of Employment
Address: CARLSBAD, CA
Start Date: 08/1998
End Date: 01/1999

Employing Firm: AMERICAN EXPRESS FINANCIAL ADVISORS INC.
Firm CRD Number:
Office of Employment
Address: CARLSBAD, CA
Start Date: 08/1998
End Date: 01/1999

Employing Firm: AMERICAN EXPRESS FINANCIAL ADVISOR
Firm CRD Number:
Office of Employment
Address: GLENDALE, CA
Start Date: 05/1998
End Date: 08/1998

Employing Firm: RICHMARK CAPITAL CORPORATION
Firm CRD Number:
Office of Employment
Address: LA JOLLA, CA
Start Date: 11/1997
End Date: 04/1998

Employing Firm: DOCO STEREO
Firm CRD Number:
Office of Employment
Address: ESCONDIDO, CA
Start Date: 08/1997
End Date: 11/1997

Employing Firm: DURANTE'S
Firm CRD Number:
Office of Employment
Address: DEL MAR, CA
Start Date: 06/1997
End Date: 09/1997

Employing Firm: C&M CHEVROLET
Firm CRD Number:
Office of Employment
Address: SAN DIEGO, CA
Start Date: 02/1997
End Date: 07/1997

Employing Firm: EDUCATION
Firm CRD Number:
Office of Employment
Address: CHICAGO, CA
Start Date: 11/1996
End Date: 02/1997

Employing Firm: LAURENCE BONFITTO
Firm CRD Number:
Office of Employment
Address: CHICAGO, IL
Start Date: 03/1996
End Date: 10/1996

Employing Firm: DT TRADING
Firm CRD Number:
Office of Employment
Address: CHICAGO, IL
Start Date: 07/1995
End Date: 02/1996

Employing Firm: EDUCATION
Firm CRD Number:
Office of Employment
Address: GLENDALE, CA
Start Date: 01/1987
End Date: 06/1995

 

Life insurance, car sales , trading

you like the difficult professions

I love the heated discussions.

 

Just for some clarity

The IDS life insurance is part of American Express Financial Advisors as I worked for them as a financial Advisor. Not sure why AMEX does this.

 

I disagree with you to a point.

I know I make money, it may not be millions a year, but If were to look for a place to trade and they required my previous pnl?? It's really none of their buisness. They should be more conserned about how much I trade since it's all about the commissions.

I'm assuming a retail account where no firm capital is at risk.

Caliber, gotta bustya chops a little

 

I like the chops busted!!!

You're right, in a retail shop where you put up your own money and get 2 to 1 leverage, there is no need to show p&l. But in a prop shop, where they are going to give you 10 to 1 leverage, you have to show your p&l so they can see the risk they're taking with giving you the additional leverage.

 

4:1

nitro

 

Risk??!?!?!?! at 10 to 1

There is almost no risk providing extra leverage, if ...you do it right.

 

In what form did Andover get a "Billion" dollar boost to their balance sheet?

And what did Sungard get in return?


Dr. Zhivodka