Anthony R. Britton
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 Robillard Britton JR, who also goes by Anthony R Britton, Anthony Robillard Britton, Tony Britton Jr, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1986. Anthony had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2015 - May 10, 2017
INDEPENDENT BROKERAGE SOLUTIONS LLC
August 3, 2004 - August 9, 2013
NATWEST MARKETS SECURITIES INC.
August 14, 1997 - August 3, 2004
DEUTSCHE BANK SECURITIES INC.
February 10, 1995 - August 8, 1997
CITIGROUP GLOBAL MARKETS INC.
January 28, 1995 - March 6, 1995
UBS FINANCIAL SERVICES INC.
April 4, 1994 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
December 10, 1992 - March 30, 1994
JPMSI
October 20, 1986 - December 7, 1992
SBC WARBURG DILLON READ INC.
February 19, 1986 - March 22, 1988
MABON, NUGENT & CO.
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
Series 8
Date: 2/23/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INDEPENDENT BROKERAGE SOLUTIONS LLC
CRD#: 153563 / SEC#: , 8-68549
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
