Anthony N. Diclemente
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 Nmn Diclemente, who also goes by Anthony Diclemente, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1987. Anthony had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2019 - October 15, 2021
FINPOSTFIN LLC
September 25, 2002 - July 24, 2024
MAXIM GROUP LLC
October 29, 1999 - October 25, 2002
HAPOALIM SECURITIES USA, INC.
June 23, 1987 - October 29, 1999
ROYCE INVESTMENT GROUP, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
FINPOSTFIN LLC
CRD#: 297463 / SEC#: , 8-70141
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
