Anthony Cacioppo
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 Cacioppo, who also goes by Anthony Charles Cacioppo, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1992. Anthony had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2024 - July 17, 2026
LIQUIDNET, INC.
June 30, 2023 - July 17, 2026
TP ICAP GLOBAL MARKETS AMERICAS LLC
February 7, 2023 - June 30, 2023
TULLETT PREBON FINANCIAL SERVICES LLC
February 3, 2021 - January 31, 2023
TRADITION SECURITIES AND DERIVATIVES LLC
January 4, 2006 - November 3, 2020
BGC FINANCIAL, L.P.
October 22, 2003 - December 15, 2005
TULLETT PREBON FINANCIAL SERVICES LLC
November 11, 1999 - October 22, 2003
CHAPDELAINE CORPORATE SECURITIES & CO
August 30, 1999 - November 9, 1999
COWEN AND COMPANY
September 9, 1992 - January 13, 1997
W.A. CAPITAL MARKETS
January 27, 1992 - September 9, 1992
FUNDAMENTAL CORPORATE BOND BROKERS
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
LIQUIDNET, INC.
CRD#: 103987 / SEC#: , 8-52461
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
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.
