Anthony B. Black
Professional summary
Anthony Brian John Black was barred by the FINRA 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 1986. Prior to being barred, Anthony had worked at 6 firms, which includes ROUND HILL SECURITIES INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, WELLS FARGO CLEARING SERVICES LLC, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 1999 - September 12, 2001
ROUND HILL SECURITIES, INC.
May 18, 1999 - December 21, 1999
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 27, 1996 - May 10, 1999
WELLS FARGO CLEARING SERVICES, LLC
July 31, 1993 - September 3, 1996
CITIGROUP GLOBAL MARKETS INC.
March 22, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
November 21, 1986 - March 26, 1991
PRUDENTIAL EQUITY GROUP, LLC
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: 7/27/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ROUND HILL SECURITIES, INC.
CRD#: 35223 / SEC#: , 8-46591
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROUND HILL HOLDINGS, INC. | OWNER | |
| ANTONIADES, ADAM NICHOLAS | PRESIDENT/CEO/DIRECTOR | 2261744 |
| DORN, DIANA GAYLE | SVP, CROP, CHIEF COMPLIANCE OFFICER | 1088981 |
| EMFINGER, TERRY LEWIS | EXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/DIRECTOR | 2206745 |
| LENHARDT, ARTHUR WILLIAM | SENIOR VICE PRESIDENT, SROP | 306553 |
| SBOTO, THOMAS JOSEPH | EXECUTIVE VICE PRESIDENT | 1497190 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
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