Anthony A. Falsetta
Professional summary
Anthony Alfonzo Falsetta was barred by the SEC 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 1989. Prior to being barred, Anthony had worked at 14 firms, which includes STOEVER GLASS & COMPANY INC., A.G.P. / ALLIANCE GLOBAL PARTNERS, DREXEL HAMILTON LLC, RAFFERTY CAPITAL MARKETS LLC, HAPOALIM SECURITIES USA INC., GRIGSBY & ASSOCIATES INC., W.A. CAPITAL MARKETS, MUNICIPAL PARTNERS LLC, MINT BROKERS, TMC BONDS L.L.C., CANTOR FITZGERALD SECURITIES, TITUS & DONNELLY LLC, R.W. SMITH & ASSOCIATES LLC, HARRY DOWNS & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2019 - February 5, 2021
STOEVER, GLASS & COMPANY INC.
December 6, 2018 - August 2, 2019
A.G.P. / ALLIANCE GLOBAL PARTNERS
August 18, 2015 - October 31, 2018
DREXEL HAMILTON, LLC
September 19, 2014 - August 10, 2015
RAFFERTY CAPITAL MARKETS, LLC
April 10, 2012 - October 3, 2014
HAPOALIM SECURITIES USA, INC.
January 7, 2011 - April 5, 2012
GRIGSBY & ASSOCIATES, INC.
November 25, 2002 - April 9, 2003
W.A. CAPITAL MARKETS
June 19, 2002 - November 15, 2002
MUNICIPAL PARTNERS, LLC
May 1, 2002 - August 8, 2002
MINT BROKERS
March 13, 2002 - April 30, 2002
TMC BONDS L.L.C.
May 13, 1997 - January 14, 2000
CANTOR FITZGERALD SECURITIES
May 13, 1997 - January 24, 2000
MINT BROKERS
September 17, 1993 - May 6, 1997
TITUS & DONNELLY LLC
November 26, 1990 - August 10, 1993
TITUS & DONNELLY LLC
April 24, 1989 - October 12, 1990
R.W. SMITH & ASSOCIATES, LLC
April 18, 1989 - April 24, 1989
HARRY DOWNS & COMPANY, INC.
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
STOEVER, GLASS & COMPANY INC.
CRD#: 7031 / SEC#: , 8-19273
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Financial | 1 |
Red Flags
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