Anthony W. Palma
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.
Anthony Willoughby Palma, who also goes by Anthony W Palma, Anthony Palma, Tony Palma, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1984. Anthony had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 1993 - October 31, 1994
ACUMENT SECURITIES, INC.
February 19, 1992 - December 31, 1992
CETERA ADVISORS LLC
November 3, 1987 - December 20, 1991
LPL FINANCIAL LLC
October 8, 1986 - October 22, 1987
PRUDENTIAL EQUITY GROUP, LLC
August 26, 1985 - October 10, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 1984 - August 8, 1985
HALPERT AND COMPANY, 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
Current Firm
ACUMENT SECURITIES, INC.
CRD#: 7661 / SEC#: , 8-22999
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
