Anthony V. Apostolico

DGM ASSET MANAGEMENT, L.L.C.

SOUTH ORANGE, NJ

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CRD#: 1674753

Professional summary

Anthony Vincent Apostolico is a registered financial advisor currently at DGM ASSET MANAGEMENT, L.L.C. located in South Orange, New Jersey.

Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Anthony has worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Vincent Apostolico's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 21, 2003 - Present

DGM ASSET MANAGEMENT, L.L.C.

RIA

CRD#: 111732

SOUTH ORANGE, NJ

Past

October 21, 1999 - June 19, 2000

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

September 15, 1997 - November 11, 1999

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

December 2, 1996 - September 16, 1997

RICKEL & ASSOCIATES, INC.

CRD#: 7839

NEW YORK, NY

Past

January 26, 1994 - November 26, 1996

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

June 30, 1989 - February 3, 1994

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 2, 1988 - July 21, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 21, 1987 - October 5, 1987

F.D. ROBERTS SECURITIES, INC.

CRD#: 693

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(11/21/2003)

IAR

New York
(4/4/2022)

IAR

Texas
(12/19/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/19/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/16/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/16/1987

General Securities Representative Examination

Current Firm

DGM ASSET MANAGEMENT, L.L.C.

CRD#: 111732 / SEC#: 801-58198

RIA

Registered Investment Advisory firm - (7/11/2002 Terminated)

New Jersey

Registered Investment Advisory firm - (3/9/2001 Approved)

New York

Registered Investment Advisory firm - (3/4/2004 Approved)

Texas

Registered Investment Advisory firm - (12/19/2024 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

South Orange, NJ

Mailing Address

Phone number

(973) 763-5323

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	146
AUM (Assets Under Management)	$ 70,854,214

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.

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Anthony V. Apostolico

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Vincent Apostolico's CRS (Customer Relationship Summary).

Certified licenses

Experience

DGM ASSET MANAGEMENT, L.L.C.

GRUNTAL & CO., L.L.C.

LADENBURG THALMANN & CO. INC.

RICKEL & ASSOCIATES, INC.

CIBC WORLD MARKETS CORP.

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

F.D. ROBERTS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/19/2002

Series 63

Date: 6/16/1987

Series 7

Date: 5/16/1987

Current Firm

DGM ASSET MANAGEMENT, L.L.C.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DGM ASSET MANAGEMENT, L.L.C.

TRUST BUT VERIFY

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