Anthony U. Bertolami
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 Ugo Bertolami, who also goes by Tony Bertolami, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1988. Anthony had worked at 14 firms and has passed the Series 63, Series 22TO, SIE, Series 22 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
July 29, 2019 - October 13, 2022
COMPASS SECURITIES CORPORATION
December 6, 2016 - September 14, 2017
COMMERCE STREET CAPITAL, LLC
November 21, 2016 - September 14, 2017
COMMERCE STREET INVESTMENT MANAGEMENT
December 2, 2013 - January 5, 2017
AUB INVESTMENTS, LLC
June 30, 2011 - September 21, 2012
CAPIS
September 4, 2009 - September 28, 2009
LONE STAR SECURITIES, INC.
March 5, 2009 - August 17, 2009
REEF SECURITIES, INC.
August 15, 2007 - January 17, 2008
SUMMER STREET RESEARCH PARTNERS
May 14, 2003 - July 29, 2003
KAUFMAN BROS., L.P.
October 31, 2000 - March 21, 2002
GLEACHER & COMPANY SECURITIES, INC.
July 10, 2000 - September 12, 2000
UBS SECURITIES LLC
May 23, 1990 - May 31, 2000
PIPER SANDLER & CO.
January 13, 1989 - April 25, 1990
LEGG MASON WOOD WALKER, INCORPORATED
January 20, 1988 - December 21, 1988
WACHOVIA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationCurrent Firm
COMPASS SECURITIES CORPORATION
CRD#: 16168 / SEC#: , 8-33438
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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