Anthony Fauci
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 Fauci, who also goes by Anthony Fanci, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1988. Anthony had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2010 - September 5, 2012
RAVEN SECURITIES CORP.
October 23, 2009 - November 4, 2009
CREDIT AGRICOLE SECURITIES (USA) INC.
October 24, 2007 - June 4, 2008
ABBEY NATIONAL SECURITIES INC.
April 20, 2006 - October 24, 2007
CREDIT AGRICOLE SECURITIES (USA) INC.
September 22, 2000 - September 22, 2005
CITIGROUP GLOBAL MARKETS INC.
February 16, 1999 - August 25, 2000
BARCLAYS CAPITAL INC.
December 14, 1995 - March 9, 1999
DAIWA CAPITAL MARKETS AMERICA INC.
January 11, 1994 - July 19, 1995
S.G. WARBURG & CO. INC.
January 11, 1993 - October 5, 1993
ING BARING (U.S.) SECURITIES, INC.
October 24, 1988 - January 13, 1989
MANKO COMPANY
State Registrations and Notice Filings
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Exams
Current Firm
RAVEN SECURITIES CORP.
CRD#: 35201 / SEC#: , 8-40372
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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