Anthony Low
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 Low, who also goes by Anthony Richard Low, Tony Low, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1984. Anthony had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - July 6, 2026
NUVEEN SECURITIES, LLC
October 17, 2013 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
November 26, 2007 - September 12, 2013
DWS DISTRIBUTORS, INC.
March 13, 2003 - October 15, 2003
TEACHERS PERSONAL INVESTORS SERVICES, INC.
January 13, 2000 - September 24, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 9, 1998 - October 18, 1999
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 5, 1993 - July 17, 1995
FINANCIAL HORIZONS SECURITIES CORPORATION
April 30, 1993 - June 18, 1997
CITICORP INVESTMENT SERVICES
January 4, 1990 - April 7, 1993
MML INVESTORS SERVICES, LLC
January 15, 1988 - January 3, 1990
NYLIFE SECURITIES LLC
November 13, 1984 - January 6, 1988
METROPOLITAN LIFE INSURANCE COMPANY
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
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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