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Anthony D. Costanza

Some features on this profile are disabled
CRD#: 1999015
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 D Costanza was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 1990. Anthony had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

December 22, 2016 - August 4, 2017

DAVID LERNER ASSOCIATES, INC.

BD
CRD#: 5397
TEANECK, NJ
Past

February 25, 2008 - March 13, 2009

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
MADISON, NJ
Past

February 25, 2008 - March 13, 2009

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
MADISON, NJ
Past

May 29, 2007 - February 11, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
FORT LEE, NJ
Past

May 29, 2007 - February 11, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
FORT LEE, NJ
Past

December 15, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
FORT LEE, NJ
Past

December 15, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
FORT LEE, NJ
Past

October 20, 2004 - August 9, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
ENGLEWOOD CLIFFS, NJ
Past

October 20, 2004 - August 9, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

May 27, 2004 - October 20, 2004

QUICK & REILLY, INC.

RIA
CRD#: 11217
CLIFFS, NJ
Past

February 19, 2003 - October 20, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

May 11, 2001 - February 20, 2003

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA
Past

January 27, 1994 - June 11, 1999

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

July 7, 1992 - December 16, 1993

FLEET BROKERAGE SECURITIES, INC.

BD
CRD#: 7313
NEW YORK, NY
Past

March 20, 1990 - May 31, 1991

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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: 1/9/2017
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/12/2004
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/4/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/22/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/4/2007
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/13/2007
General Securities Sales Supervisor - General Module Examination

Current Firm

DAVID LERNER ASSOCIATES, INC.
DAVID LERNER ASSOCIATES, INC.
DAVID LERNER ASSOCIATES, INC.

CRD#: 5397 / SEC#: , 8-20746

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
477 Jericho Tpke P.o.box 9006, Syosset, NY 11791-9006
Mailing Address
477 Jericho Tpke P.o.box 9006, Syosset, NY 11791-9006
Phone number
(516) 921-4200
Established
New York since 11/06/1975
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 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#
LERNER, DAVIDSHAREHOLDER307120
HOLEMAN, ALLEN BERNARDCHIEF COMPLIANCE OFFICER1060910
SANTOS, ERIKA VALERIAFINOP6218921
WALCOE, MARTIN KEVINPRESIDENT1593935

Disclosures

Regulatory Event22
Arbitration19

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

DAVID LERNER ASSOCIATES, INC.

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

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