Anthony L. Competelli
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 Louis Competelli, who also goes by Tony Competelli, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1987. Anthony had worked at 10 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2015 - November 28, 2018
CROWN CAPITAL SECURITIES, L.P.
February 25, 2013 - June 4, 2013
GWN SECURITIES INC.
October 8, 2007 - February 4, 2013
PLANMEMBER SECURITIES CORPORATION
March 8, 2006 - October 9, 2007
VOYA FINANCIAL PARTNERS, LLC
September 5, 2003 - January 31, 2006
STUART SECURITIES CORP.
August 29, 2001 - December 4, 2002
C. J. M. PLANNING CORP.
October 13, 1998 - August 14, 2001
ARAGON FINANCIAL SERVICES, INC.
September 29, 1997 - December 7, 1998
PLANMEMBER SECURITIES CORPORATION
November 27, 1996 - September 25, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
January 30, 1994 - December 31, 1996
ARAGON FINANCIAL SERVICES, INC.
January 1, 1993 - August 31, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 2, 1989 - February 14, 1991
ARAGON FINANCIAL SERVICES, INC.
July 22, 1987 - November 17, 1987
THE STUART-JAMES COMPANY, 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
Current Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| 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.
