Steven James Anuszewski
Professional Summary
Steven James Anuszewski is a registered financial advisor currently at L.O. THOMAS & CO. INC. located in Linwood, New Jersey. Steven is registered as a RR (Registered Representative) and started their career in finance in 1986. Steven has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
40 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
L.O. THOMAS & CO. | L.O. THOMAS & CO. INC.
Contact Information
Main Address
Linwood Commons-suite A-6 2106 New Road, Linwood, NJ 08221Mailing Address
Linwood Commmons-suite A-6 2106 New Road Po Box 293, Linwood, NJ 08221Phone Number
(609) 927-4044Established
New Jersey since 03/01/1996Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (22 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RISLEY, JOHN WESLEY JR | PRESIDENT, FINOP, CEO,CCO | 844622 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(7/27/2017)
(8/17/2017)
(7/27/2017)
(8/24/2017)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1986About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Steven James Anuszewski's CRS (Customer Relationship Summary).
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