Anthony V. Ferrone
Professional summary
Anthony Vincent Ferrone was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Anthony is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Anthony had worked at 11 firms, which includes AMERIPRISE FINANCIAL SERVICES LLC, MORGAN STANLEY, STIFEL NICOLAUS & COMPANY INCORPORATED, RYAN BECK & CO., UBS FINANCIAL SERVICES INC., MORGAN STANLEY DW INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., PRUDENTIAL EQUITY GROUP LLC, THOMSON MCKINNON SECURITIES INC., PHILIPS APPEL & WALDEN INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2016 - April 18, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
July 20, 2011 - August 12, 2016
MORGAN STANLEY
July 8, 2011 - August 12, 2016
MORGAN STANLEY
July 31, 2007 - July 11, 2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 31, 2007 - July 11, 2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 19, 2004 - July 31, 2007
RYAN BECK & CO.
March 30, 2004 - July 31, 2007
RYAN BECK & CO.
July 2, 2002 - April 13, 2004
UBS FINANCIAL SERVICES INC.
February 25, 1999 - April 13, 2004
UBS FINANCIAL SERVICES INC.
September 14, 1994 - February 8, 1999
MORGAN STANLEY DW INC.
July 31, 1993 - September 26, 1994
CITIGROUP GLOBAL MARKETS INC.
July 22, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
September 15, 1989 - July 23, 1991
PRUDENTIAL EQUITY GROUP, LLC
December 12, 1983 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
September 21, 1983 - November 7, 1983
PHILIPS, APPEL & WALDEN, INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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: 8/5/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
