Anthony J. Zalesky
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 Joseph Zalesky was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1984. Anthony had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2011 - August 4, 2021
NEXT FINANCIAL GROUP, INC.
March 31, 2011 - August 4, 2021
NEXT FINANCIAL GROUP, INC.
September 24, 2007 - March 31, 2011
CUMBERLAND BROKERAGE CORPORATION
January 3, 2007 - March 31, 2011
CUMBERLAND BROKERAGE CORPORATION
February 1, 2006 - May 7, 2007
SMART FINANCIAL ADVISORS, LLC
October 21, 2005 - January 11, 2007
CETERA ADVISORS LLC
October 21, 2005 - January 11, 2007
CETERA ADVISORS LLC
April 29, 2003 - October 24, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 1, 1998 - October 24, 2005
OSAIC FA, INC.
March 13, 1995 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 3, 1992 - February 7, 1995
PRUCO SECURITIES, LLC.
May 12, 1989 - January 31, 1991
CINCINNATI ANALYSTS, INC.
July 17, 1987 - March 27, 1989
VALLEY NATIONAL INVESTMENTS, INC.
August 20, 1984 - December 21, 1985
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
