Anthony J. Cilia
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 John Cilia was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1982. Anthony had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2004 - October 7, 2014
LPL FINANCIAL LLC
August 5, 2004 - October 7, 2014
LPL FINANCIAL LLC
July 25, 2002 - July 27, 2004
A. G. EDWARDS & SONS, INC.
April 15, 2002 - July 27, 2004
A. G. EDWARDS & SONS, INC.
October 13, 2000 - May 3, 2002
LEHMAN BROTHERS INC.
July 1, 1998 - October 18, 2000
COWEN AND COMPANY
June 4, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
February 20, 1997 - June 3, 1997
PRUDENTIAL EQUITY GROUP, LLC
February 26, 1992 - May 10, 1996
M.G.S.I. SECURITIES, INC.
October 22, 1991 - February 21, 1992
RAUSCHER PIERCE REFSNES, INC.
August 12, 1991 - October 29, 1991
TEXAS COMMERCE EQUITIES, INC.
July 19, 1989 - February 27, 1990
HILLTOP SECURITIES INC.
December 1, 1987 - May 8, 1989
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
December 21, 1982 - October 13, 1987
ROTAN MOSLE INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 8
Date: 6/1/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
