Anthony J. Pullinzi
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 Joseph Pullinzi Jr, who also goes by Anthony Joseph Pullinzi Jr, Anthony Joseph Pullinzi Jr., Anthony Joseph Pullinzi, Anthony Joseph Jr Pullinzi, Tony Pullinzi Jr, Anthony J Pullinzi, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1991. Anthony had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2021 - December 20, 2021
PEAK BROKERAGE SERVICES, LLC
January 13, 2021 - December 20, 2021
BLACKRIDGE ASSET MANAGEMENT, LLC
October 9, 2019 - December 17, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
October 2, 2019 - April 2, 2020
ALLSTATE FINANCIAL SERVICES, LLC
June 13, 2019 - July 30, 2019
MML INVESTORS SERVICES, LLC
June 12, 2019 - July 30, 2019
MML INVESTORS SERVICES, LLC
January 8, 2016 - July 17, 2018
M&T SECURITIES, INC.
January 7, 2016 - July 17, 2018
M&T SECURITIES, INC.
August 5, 2015 - December 8, 2015
PRUCO SECURITIES, LLC.
October 18, 2013 - July 31, 2015
LPL FINANCIAL LLC
October 16, 2013 - July 31, 2015
LPL FINANCIAL LLC
June 27, 2012 - October 16, 2013
FIVE STAR INVESTMENT SERVICES, INC.
September 29, 2010 - June 28, 2012
VALIC FINANCIAL ADVISORS, INC.
July 13, 2010 - June 28, 2012
VALIC FINANCIAL ADVISORS, INC.
December 6, 2007 - January 11, 2010
HSBC SECURITIES (USA) INC.
October 23, 2006 - January 11, 2010
HSBC SECURITIES (USA) INC.
November 3, 2005 - September 18, 2006
CHARLES SCHWAB & CO., INC.
March 22, 2002 - October 14, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
August 17, 2001 - January 7, 2002
CITICORP INVESTMENT SERVICES
April 5, 2001 - August 2, 2001
M&T SECURITIES, INC.
July 31, 1993 - December 6, 1999
CITIGROUP GLOBAL MARKETS INC.
January 1, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
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
PEAK BROKERAGE SERVICES, LLC
CRD#: 157045 / SEC#: , 8-68829
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEAK REPS, LLC | OWNER | |
| COKER, KAREN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PHILLIPS, DAVID LEVERT | CHIEF INFORMATION SECURITY OFFICER | 2054858 |
| REYNOLDS, MATTHEW MARK | PRESIDENT/FINOP | 4077413 |
| RUDNICK, REGINA MARY | PRESIDENT/HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
Disclosures
| Regulatory Event | 1 |
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.
