Anthony J. Vella
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 John Vella, who also goes by Tony Vella, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1986. Anthony had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 27 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
May 1, 1998 - July 18, 2002
BROADCORT CAPITAL CORP.
May 21, 1986 - March 19, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 10/27/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BROADCORT CAPITAL CORP.
CRD#: 13456 / SEC#: , 8-29204
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | SOLE SHAREHOLDER | 7691 |
| AKELLIAN, DAVID PAUL | PRESIDENT/DIRECTOR | 1065017 |
| CONIGLIARO, THOMAS VINCENT | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 1462689 |
| LYNCH, MICHAEL JOHN | DIRECTOR | 1100227 |
| MENNA, SUZANNE | CHIEF FINANCIAL OFFICER | 3131763 |
| THOMAS, ARTHUR L | DIRECTOR | 1241780 |
| WALKER, JAMES KEVIN | DIRECTOR OF COMPLIANCE | 2397598 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
