Anthony L. Mascia
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 Lawrence Mascia, who also goes by Tony Mascia, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1987. Anthony had worked at 17 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2004 - September 30, 2004
USI SECURITIES, INC.
January 22, 2003 - March 27, 2003
CHASE INVESTMENT SERVICES CORP.
August 20, 2001 - December 31, 2001
USALLIANZ SECURITIES, INC.
April 6, 2000 - June 29, 2000
DAVID LERNER ASSOCIATES, INC.
January 24, 2000 - February 12, 2000
ALL-TECH DIRECT, INC.
March 6, 1997 - February 2, 2000
QUEST CAPITAL STRATEGIES, INC.
March 11, 1996 - December 18, 1996
CENTAURUS FINANCIAL, INC.
January 31, 1996 - March 7, 1996
WALNUT STREET SECURITIES, INC.
May 8, 1995 - September 25, 1995
STEPHENS
May 11, 1994 - April 28, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 11, 1994 - April 28, 1995
OSAIC FA, INC.
January 3, 1994 - April 14, 1994
J.C. BRADFORD & CO.
July 16, 1993 - December 22, 1993
LEGG MASON WOOD WALKER, INCORPORATED
November 4, 1992 - July 7, 1993
AVANTAX INVESTMENT SERVICES, INC.
March 19, 1992 - November 6, 1992
QUEST CAPITAL STRATEGIES, INC.
May 7, 1991 - January 6, 1992
INDEPENDENT FINANCIAL SECURITIES, INC.
January 10, 1991 - May 7, 1991
CLEARING SERVICES OF AMERICA, INC.
June 15, 1987 - December 31, 1990
NATHAN & LEWIS SECURITIES, INC.
February 26, 1987 - April 29, 1987
DAVID LERNER ASSOCIATES, INC.
Primary Firm SEC Registration
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
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
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
Contact information
SEC notice filing (39 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USIC INVESTMENT GROUP INC. | SHAREHOLDER | |
| BOWMAN, RICHARD CHARLES | FINOP, DIRECTOR OF OPERATIONS | 2356525 |
| GRITZER, JOSEPH JOHN JR | PRESIDENT | 2162679 |
| KAPPUS, DAVID L | TREASURER | 6837749 |
| NEWBORN, ERNEST JOSHUA | DIRECTOR/SECRETARY | 3154426 |
| ROBIDOUX, MELINDA MCDONALD | CHIEF COMPLIANCE OFFICER | 2848093 |
| TREMKO, WILLIAM MICHAEL | CHIEF EXECUTIVE OFFICER | 4495149 |
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.
