Anthony Primiano
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 Primiano, who also goes by Anthony J Primiano, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2006. Anthony had worked at 5 firms and has passed the Series 7TO, SIE, Series 14, Series 24 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2017 - August 28, 2021
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
September 13, 2017 - September 7, 2021
UBS FINANCIAL SERVICES INC.
May 2, 2016 - September 14, 2017
UBS SECURITIES LLC
December 18, 2006 - April 24, 2007
GPC SECURITIES, INC.
August 14, 2006 - April 22, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 7TO
Date: 3/24/2024
General Securities Representative ExaminationCurrent Firm
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
CRD#: 13042 / SEC#: , 8-28475
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 43 |
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.
