Anthony B. Surrett

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CRD#: 1304918

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 B.a. Surrett, who also goes by Anthony Brian Allan, Anthony B A Surrett, Anthony Brian Surrett, Anthony Brian Allan Surrett, Anthony Surrett, Tony Surrett, Anthony Ba Surrett, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 1988. Anthony had worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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)

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

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

Past

October 16, 2018 - February 21, 2022

ST. BERNARD FINANCIAL SERVICES, INC.

CRD#: 36956

RUSSELLVILLE, AR

Past

December 10, 2008 - October 15, 2018

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

January 4, 2005 - December 8, 2008

LEGEND EQUITIES CORPORATION

CRD#: 30999

PALM BEACH GARDENS, FL

Past

January 2, 2001 - December 31, 2004

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

Past

January 18, 2000 - December 31, 2000

CONSUMER CONCEPTS INVESTMENTS, INC.

CRD#: 26167

AUSTELL, GA

Past

March 31, 1995 - December 31, 1999

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

GREENWOOD VILLAGE, CO

Past

February 3, 1995 - March 31, 1995

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

March 27, 1992 - December 15, 1994

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

LARGO, FL

Past

January 1, 1988 - March 13, 1992

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ST. BERNARD FINANCIAL SERVICES, INC.

CRD#: 36956 / SEC#: 801-113763, 8-47566

RIA

Registered Investment Advisory firm - SEC (7/31/2018 Approved)

Arkansas

Registered Investment Advisory firm - SEC (11/1/2018 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (8/21/2018 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/31/2018 Terminated)

Indiana

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Missouri

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/9/2018 Terminated)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/1/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/28/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/29/1989

Investment Company Products/Variable Contracts Principal Examination

Current Firm

ST. BERNARD FINANCIAL SERVICES, INC.

CRD#: 36956 / SEC#: 801-113763, 8-47566

RIA

Registered Investment Advisory firm - SEC (7/31/2018 Approved)

Arkansas

Registered Investment Advisory firm - SEC (11/1/2018 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (8/21/2018 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/31/2018 Terminated)

Indiana

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Missouri

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/9/2018 Terminated)

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

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Contact information

Main Address

1609 West Main St., Russellville, AR 72801

Mailing Address

1609 West Main St., Russellville, AR 72801

Phone number

(479) 967-1200

Established

Arkansas since 03/24/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

109

SEC notice filing (40 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PT 2 02-01-2024 (1/29/2025)

Direct owners and executive officers

Name	Position	CRD#
ROBERT KEENAN REVOCABLE TRUST	OWNER
CELI, MARK EDWARD	OPTIONS PRINCIPAL	1676074
DYER, SHARON JANE	ASSISTANT FINOP AND MUNI PRINCIPAL	1456415
KEENAN, ROBERT JR	CEO, CCO, TRUSTEE OF ROBERT KEENAN TRUST	2000976

Regulatory assets under management

Total Number of Accounts	841
AUM (Assets Under Management)	$ 130,472,570

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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Advisor Monitoring

Firm Stability Insights

Anthony B. Surrett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESTERS EQUITY SERVICES, INC.

LEGEND EQUITIES CORPORATION

MM ASCEND LIFE INVESTOR SERVICES, LLC

CONSUMER CONCEPTS INVESTMENTS, INC.

UNITED SECURITIES ALLIANCE, INC.

SENTRA SECURITIES CORPORATION

MARINER FINANCIAL SERVICES, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

ST. BERNARD FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/1/1988

SIE

Date: 10/1/2018

Series 6

Date: 12/28/1987

Series 26

Date: 6/29/1989

Current Firm

ST. BERNARD FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (40 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ST. BERNARD FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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