Anthony J. Sarkis
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 Jude Sarkis was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1990. Anthony had worked at 8 firms and has passed the Series 63, Series 7, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2013 - October 31, 2013
DU PASQUIER & CO., INC.
June 13, 2011 - February 14, 2013
ROCKWELL GLOBAL CAPITAL LLC
October 3, 2008 - June 10, 2011
NEWBRIDGE SECURITIES CORPORATION
February 28, 2006 - October 3, 2008
H.C.WAINWRIGHT & CO., LLC
January 16, 2003 - February 14, 2006
MAXIM GROUP LLC
March 21, 2002 - January 10, 2003
INVESTEC INC.
October 29, 1999 - March 26, 2002
HAPOALIM SECURITIES USA, INC.
March 5, 1990 - October 29, 1999
ROYCE INVESTMENT GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 2/28/1990
Corporate Securities Limited Representative ExaminationCurrent Firm
DU PASQUIER & CO., INC.
CRD#: 24750 / SEC#: 801-61795, 8-41367
Contact information
Disclosures
| Regulatory Event | 3 |
Red Flags
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