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MA

Mark Anthony

CRD# 1292449·Registered 1984 - 1997
Barred: Mark Anthony was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Mark Anthony, who also goes by Cosmo F Pioppi, Cosmo Pioppi, was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 1984 - 1997. Mark had worked at 7 firms and has passed the Series 63, Series 7, Series 24, Series 4 and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Cosmo F Pioppi, Cosmo Pioppi

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

42 years in the financial services industry

Current & Past Employments

SUPPES SECURITIES, INC.·CRD# 13722
BD
Nyc, NY
August 13, 1991 - January 29, 1997
YAEGER SECURITIES, INC.·CRD# 10118
BD
September 20, 1990 - June 3, 1991
FIRST AMERICA EQUITIES CORP.·CRD# 7652
BD
March 19, 1990 - September 13, 1991
JOSEPHTHAL & CO., INC.·CRD# 3227
BD
New York, NY
February 9, 1990 - February 27, 1990
ROBYNS CAPITAL CORP.·CRD# 19980
BD
December 22, 1988 - September 13, 1991
FIRST AMERICAN CAPITAL RESOURCES, INC.·CRD# 16818
BD
July 18, 1986 - November 22, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.·CRD# 14156
BD
October 26, 1984 - October 20, 1986

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Current Firm

SS
SUPPES SECURITIES, INC.

LMC CORPORATION | SUPPES SECURITIES, INC.

CRD#: 13722 / SEC#: 8-29708
BD
Cancelled by SEC on 08/29/1997

Contact Information

Established

Connecticut since 09/07/1982

Firm Type

Corporation

Fiscal Year End

December

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1984About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 1984About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 1990About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Aug 1986About the Series 4 exam

Series 27 — Financial and Operations Principal Examination

Passed Jun 1986About the Series 27 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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