AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AC

Anthony J. Carrubba

Some features on this profile are disabled
CRD#: 1736459
AC

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 Joseph Carrubba, who also goes by Anthony J Carrubba, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 1992. Anthony had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anthony J Carrubba

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 11, 2017 - November 25, 2025

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ
Past

June 9, 2014 - January 3, 2017

TOUCHSTONE SECURITIES, LLC

BD
CRD#: 1526
CINCINNATI, OH
Past

November 9, 2012 - May 12, 2014

MIDAMERICA FINANCIAL SERVICES, INC.

BD
CRD#: 47351
JOPLIN, MO
Past

September 22, 2011 - December 22, 2011

MSEC, LLC

BD
CRD#: 154327
OVERLAND PARK, KS
Past

November 7, 2007 - April 16, 2009

WADDELL & REED

RIA
CRD#: 866
OVERLAND PARK, KS
Past

June 27, 2003 - January 24, 2011

IVY DISTRIBUTORS, INC.

BD
CRD#: 16496
OVERLAND PARK, KS
Past

May 2, 2001 - January 24, 2011

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

December 22, 1999 - April 23, 2001

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

July 1, 1998 - November 2, 1998

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

December 9, 1996 - July 1, 1998

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

August 5, 1992 - January 1, 1997

OCC DISTRIBUTORS LLC

BD
CRD#: 18541
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/30/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/6/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/4/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

LORD ABBETT DISTRIBUTOR LLC
LORD ABBETT DISTRIBUTOR LLC
LORD ABBETT DISTRIBUTOR LLC | LORD, ABBETT & CO.

CRD#: 530 / SEC#: , 8-216

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
30 Hudson Street, Jersey City, NJ 07302-4804
Mailing Address
30 Hudson Street, Jersey City, NJ 07302-4804
Phone number
(888) 522-2388
Established
New York since 06/06/1996
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LORD, ABBETT & CO. LLCMEMBER
PAONE, FRANCIS VINCENT IIICHIEF EXECUTIVE OFFICER3135499
PEREIRA, ANTONIO NCHIEF FINANCIAL OFFICER5662445
SHETH, KUNJANCHIEF COMPLIANCE OFFICER4884218
STUZIN, RANDOLPH ARTHURCHIEF LEGAL OFFICER4645056

Disclosures

Regulatory Event3

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.

Company Information

LORD ABBETT DISTRIBUTOR LLC

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

TRUST BUT VERIFY

Monitor Anthony Carrubba

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.