Anthony Cena
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 Cena, who also goes by Cena Anthony, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1987. Anthony had worked at 14 firms and has passed the Series 63, 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
August 19, 2019 - March 11, 2024
D.A. DAVIDSON & CO.
May 31, 2018 - May 10, 2019
DAIWA CAPITAL MARKETS AMERICA INC.
October 11, 2017 - May 24, 2018
WALL STREET ACCESS
November 4, 2013 - October 23, 2017
JEFFERIES LLC
March 1, 2013 - October 1, 2013
SANTANDER US CAPITAL MARKETS LLC
August 1, 2011 - March 7, 2013
PIERPONT CAPITAL ADVISORS LLC
January 24, 2008 - August 1, 2011
JEFFERIES LLC
February 18, 2005 - January 18, 2008
RBC CAPITAL MARKETS CORPORATION
November 1, 2004 - February 14, 2005
JEFFERIES LLC
October 24, 2003 - November 1, 2004
BONDS DIRECT SECURITIES LLC
October 12, 2001 - February 9, 2004
FHN FINANCIAL SECURITIES CORP.
February 18, 1999 - October 4, 2001
TUCKER ANTHONY INCORPORATED
July 1, 1998 - February 17, 1999
COWEN AND COMPANY
April 2, 1996 - July 1, 1998
FINANCIAL SQUARE PARTNERS
January 11, 1996 - March 4, 1996
INTERCAPITAL GOVERNMENT SECURITIES INC.
August 18, 1987 - February 1, 1996
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
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
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D.A. DAVIDSON COMPANIES | HOLDING COMPANY | |
| BEAUPREZ, JACQUELINE ANN | SVP, GENERAL COUNSEL | 4075012 |
| CRONK, JAMES LEE | PRINCIPAL OPERATIONS OFFICER | 1104799 |
| DISPENSE, MARC RUSSELL | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 4655410 |
| MARTINEZ, LAWRENCE TODD | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 4596308 |
| MCCUBBIN, JARED C | SVP, CHIEF COMPLIANCE OFFICER | 4969077 |
| MCKINNEY, RORY ADAM | PRESIDENT, EQUITY CAPITAL MARKETS | 4735577 |
| PURPURA, MICHAEL JOSEPH | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 2095576 |
| ZADICK, JUSTINE MILNE | PRINCIPAL FINANCIAL OFFICER | 6452559 |
Regulatory assets under management
| Total Number of Accounts | 92,146 |
| AUM (Assets Under Management) | $ 41,839,245,699 |
Disclosures
| Regulatory Event | 41 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 |
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.
