Anthony P. Librizzi
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 Paul Librizzi was a registered financial advisor .
Anthony is a previously registered financial advisor and started their career in finance in 1991. Anthony had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2013 - November 29, 2018
L.O. THOMAS & CO. INC.
January 29, 2009 - September 24, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 29, 2009 - September 24, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 6, 2004 - February 17, 2009
CITIGROUP GLOBAL MARKETS INC.
January 15, 1999 - February 17, 2009
CITIGROUP GLOBAL MARKETS INC.
May 9, 1991 - January 26, 1999
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
Current Firm
L.O. THOMAS & CO. INC.
CRD#: 23657 / SEC#: , 8-40875
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RISLEY, JOHN WESLEY JR | PRESIDENT, FINOP, CEO,CCO | 844622 |
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.
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