Anita K. Long

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CRD#: 1542849

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.

Anita Kay Long, who also goes by Anita Kay Kallok, Anita Kallok, Anita Listro, was a registered financial professional .

Anita is a previously registered financial professional and started their career in finance in 1987. Anita had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 5, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Anita Kay Kallok | Anita Kallok | Anita Listro

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 27, 2018 - June 24, 2024

MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818

IRVINE, CA

Past

August 16, 2017 - July 16, 2018

ALAMO CAPITAL

CRD#: 26193

WALNUT CREEK, CA

Past

July 22, 2013 - July 31, 2017

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

GARDEN CITY, NY

Past

August 14, 2009 - July 22, 2013

SANDGRAIN SECURITIES LLC

CRD#: 26004

SOUTHLAKE, TX

Past

November 1, 2004 - January 13, 2009

JEFFERIES LLC

CRD#: 2347

SAN FRANCISCO, CA

Past

October 1, 2001 - November 1, 2004

BONDS DIRECT SECURITIES LLC

CRD#: 112297

NEW YORK, NY

Past

December 14, 1993 - August 19, 1999

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

August 6, 1991 - February 26, 1993

SANWA UNIVERSAL SECURITIES CO., LLC

CRD#: 8427

NEW YORK, NY

Past

August 6, 1991 - February 26, 1993

SANWA SECURITIES (USA) CO., L.P.

CRD#: 19697

NEW YORK, NY

Past

July 25, 1987 - May 20, 1988

HSBC SECURITIES (USA) INC.

CRD#: 19585

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 10/10/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/28/2001

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 8/28/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 7/24/1986

Interest Rate Options Examination

Principal/Supervisory Exam

Series 24

Date: 12/12/2012

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 4/8/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

MISCHLER FINANCIAL GROUP, INC.

DILTANA COMPANY, INC. | MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818 / SEC#: , 8-48067

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

19800 Macarthur Blvd. Suite 600, Irvine, CA 92612

Mailing Address

19800 Macarthur Blvd. Suite 600, Irvine, CA 92612

Phone number

(949) 720-0640

Established

California since 11/22/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CHAMBERLAIN, DEAN ARTHUR	CHIEF EXECUTIVE OFFICER / DIRECTOR/ CHAIRMAN	2262338
HOLMES, DOYLE LAVERN	PRESIDENT, CHIEF OPERATION OFFICER-FINOP, CHIEF COMPLIANCE OFFICER, DIRECTOR	1556260
GTS FINANCIAL LLC	OWNER

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Anita K. Long

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALAMO CAPITAL

RAFFERTY CAPITAL MARKETS, LLC

SANDGRAIN SECURITIES LLC

JEFFERIES LLC

BONDS DIRECT SECURITIES LLC

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

SANWA UNIVERSAL SECURITIES CO., LLC

SANWA SECURITIES (USA) CO., L.P.

HSBC SECURITIES (USA) INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/10/2001

SIE

Date: 10/1/2018

Series 7

Date: 9/28/2001

Series 3

Date: 8/28/1986

Series 5

Date: 7/24/1986

Series 24

Date: 12/12/2012

Series 8

Date: 4/8/1994

Current Firm

MISCHLER FINANCIAL GROUP, INC.

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MISCHLER FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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