Anthony R. Sichenzio
Professional summary
Anthony Richard Sichenzio was barred by the SEC 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 1989. Prior to being barred, Anthony had worked at 7 firms, which includes B. RILEY SECURITIES INC., B. RILEY WEALTH MANAGEMENT, NEWEDGE USA LLC, CANTOR FITZGERALD & CO., CANTOR FITZGERALD SECURITIES, MINT BROKERS, HERZOG HEINE GEDULD LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2018 - September 13, 2018
B. RILEY SECURITIES, INC.
October 13, 2010 - September 13, 2018
B. RILEY WEALTH MANAGEMENT
October 26, 2001 - September 24, 2010
NEWEDGE USA, LLC
November 11, 1993 - October 29, 2001
CANTOR FITZGERALD & CO.
November 1, 1993 - October 30, 2001
CANTOR FITZGERALD SECURITIES
July 16, 1990 - October 29, 2001
MINT BROKERS
June 5, 1990 - June 27, 1990
MINT BROKERS
March 21, 1989 - June 4, 1990
HERZOG, HEINE, GEDULD, 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
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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