Anthony Sica
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 Sica was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1985. Anthony had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2003 - June 21, 2024
JOSEPH GUNNAR & CO. LLC
January 19, 2001 - October 31, 2003
WELLS FARGO CLEARING SERVICES, LLC
April 21, 1993 - January 19, 2001
PRUDENTIAL EQUITY GROUP, LLC
August 15, 1985 - April 23, 1993
LEHMAN BROTHERS INC.
January 23, 1985 - August 12, 1985
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
Primary Firm SEC Registration
JOSEPH GUNNAR & CO. LLC
CRD#: 24795 / SEC#: 801-121064, 8-41386
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
JOSEPH GUNNAR & CO. LLC
CRD#: 24795 / SEC#: 801-121064, 8-41386
Contact information
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 68 |
| AUM (Assets Under Management) | $ 33,967,899 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 13 |
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.
