Anthony B. Davidow
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 Bruce Davidow, CIMA®, who also goes by Anthony B Davidow, Tony Davidow, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1989. Anthony had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24, Series 14, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2013 - November 25, 2019
CHARLES SCHWAB & CO., INC.
August 29, 2012 - January 4, 2013
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
December 21, 2010 - January 4, 2013
GUGGENHEIM DISTRIBUTORS, LLC
October 29, 2008 - December 22, 2010
ALPS DISTRIBUTORS, INC.
December 13, 2005 - October 20, 2008
MORGAN STANLEY & CO. LLC
April 4, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
December 20, 2002 - October 20, 2008
MORGAN STANLEY & CO. LLC
July 17, 1995 - December 18, 2002
MORGAN STANLEY DW INC.
February 1, 1995 - April 11, 1995
UBS ASSET MANAGEMENT (US) INC.
January 28, 1995 - March 23, 1995
UBS FINANCIAL SERVICES INC.
September 10, 1991 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
August 24, 1989 - October 11, 1991
LADENBURG THALMANN & CO. INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Series 8
Date: 10/27/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
