Anthony Falco

SCOTIA CAPITAL (USA)

NEW YORK, NY 10281

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CRD#: 1271822

Professional summary

Anthony Falco is a registered financial professional currently at SCOTIA CAPITAL (USA) INC. located in New York, New York.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 1989. Anthony has worked at 6 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 3, 2023 - Present

SCOTIA CAPITAL (USA) INC.

Office #1: 250 Vesey Street, New York, NY 10281

CRD#: 2739

NEW YORK, NY

Past

March 25, 2014 - May 5, 2014

SCOTTRADE, INC.

CRD#: 8206

ENGLISHTOWN, NJ

Past

January 10, 2013 - October 2, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

December 5, 2012 - October 2, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PENNINGTON, NJ

Past

June 11, 2009 - December 7, 2010

ROSENTHAL GLOBAL SECURITIES LLC

CRD#: 19721

CHICAGO, IL

Past

November 16, 1993 - June 11, 2007

MUFG SECURITIES AMERICAS INC.

CRD#: 19685

NEW YORK, NY

Past

December 14, 1989 - June 7, 1993

DISCOUNT CORPORATION OF NEW YORK

CRD#: 19757

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 2/11/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/8/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 4/3/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 4/3/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/3/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/16/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SCOTIA CAPITAL (USA) INC.

CRD#: 2739 / SEC#: , 8-3716

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

250 Vesey Street, New York, NY 10281

Mailing Address

250 Vesey Street, New York, NY 10281

Phone number

(212) 225-6500

Established

New York since 11/25/1939

Firm type

Corporation

Fiscal year end

October

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SCOTIA HOLDINGS (USA) LLC	SOLE SHAREHOLDER
ATTIA, MONCEF	BOARD MEMBER	4852031
DUSSEAU, SEAN MICHAEL	CHIEF OPERATING OFFICER & BOARD MEMBER	6628832
GALANTE, ANTHONY JAMES	CHIEF FINANCIAL OFFICER	2168905
GEORGALAS, ANDREAS ZANIS	CHIEF LEGAL OFFICER	4769326
GOHMAN, BENJAMIN E	BOARD MEMBER	4835406
KAUSHIK, KSHAMTA	CHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER	7523252
KHAN, ARIF KAMAL	CHIEF COMPLIANCE OFFICER	5011278
NATHANSON, GARY	BOARD MEMBER	4825746
PATEL, HEMANG	CHIEF OPERATIONS OFFICER	8032984
WANG, ELSA YI-HUI	BOARD MEMBER	5984605
WILSON, MARC-ANDRE	BOARD MEMBER	6455732

Disclosures

Regulatory Event

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.

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Anthony Falco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anthony Falco's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCOTTRADE, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ROSENTHAL GLOBAL SECURITIES LLC

MUFG SECURITIES AMERICAS INC.

DISCOUNT CORPORATION OF NEW YORK

State Registrations and Notice Filings

Exams

Series 63

Date: 2/11/2013

Series 65

Date: 1/8/2013

Series 99TO

Date: 4/3/2023

SIE

Date: 4/3/2023

Series 7

Date: 2/3/1995

Series 24

Date: 11/16/2001

FINRA

Current Firm

SCOTIA CAPITAL (USA) INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SCOTIA CAPITAL (USA) INC.

TRUST BUT VERIFY

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