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AS

Anthony Sica

Some features on this profile are disabled
CRD#: 1332626
AS

Professional summary

Anthony Sica was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Anthony is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Anthony had worked at 5 firms, which includes JOSEPH GUNNAR & CO. LLC, WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, LEHMAN BROTHERS INC., MCLAUGHLIN PIVEN VOGEL SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 31, 2003 - June 21, 2024

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
NEW YORK, NY
Past

January 19, 2001 - October 31, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

April 21, 1993 - January 19, 2001

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

August 15, 1985 - April 23, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

January 23, 1985 - August 12, 1985

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

BD
CRD#: 7404

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".
JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.

CRD#: 24795 / SEC#: 801-121064, 8-41386

RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)
California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)
District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)
New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)
Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/16/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/26/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/29/2005
General Securities Principal Examination

Current Firm

JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.

CRD#: 24795 / SEC#: 801-121064, 8-41386

RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)
California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)
District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)
New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)
Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
1000 Rxr Plaza 10th Floor, Uniondale, NY 11556
Mailing Address
1000 Rxr Plaza, Uniondale, NY 11556
Phone number
(212) 440-9600
Established
Delaware since 08/07/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
50

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

JOSEPH GUNNAR & CO., LLC ADV BROCHURE (4/23/2025)
JOSEPH GUNNAR WRAP FEE PROGRAM BROCHURE (4/23/2025)

Direct owners and executive officers

NamePositionCRD#
JOSEPH GUNNAR HOLDING CO., LLC.OWNER
ALAGNA, JOSEPH ANTHONY JRCHAIRMAN, CEO1840339
COLOMBO, DOUGLASPRINCIPAL OPERATIONS OFFICER1858351
HODGE, WILLIAM PAULCHIEF COMPLIANCE OFFICER / AMLCO1950852
SINGER, STEVEN FREDERICFINOP2360737
STEIN, STEPHAN APRESIDENT3238494

Regulatory assets under management

Total Number of Accounts68
AUM (Assets Under Management)$ 33,967,899

Disclosures

Regulatory Event5
Arbitration13

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.

Company Information

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

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