Anthony F. Dwyer
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 Fidelis Dwyer, who also goes by Anthony F Dwyer, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1988. Anthony had worked at 9 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 16, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2012 - January 24, 2025
CANACCORD GENUITY LLC
February 9, 2010 - September 26, 2012
CANACCORD GENUITY SECURITIES LLC
June 16, 2003 - February 8, 2010
FTN EQUITY CAPITAL MARKETS CORP.
May 9, 2001 - September 1, 2001
M.S. FARRELL & COMPANY, INC.
October 8, 1999 - June 26, 2003
KIRLIN SECURITIES INC.
September 26, 1997 - September 28, 1999
LADENBURG THALMANN & CO. INC.
October 20, 1994 - October 26, 1995
JOSEPHTHAL & CO., INC.
March 8, 1993 - September 28, 1994
DEUTSCHE IXE, LLC
November 23, 1988 - February 22, 1993
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
Current Firm
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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