Rosario A. Tantillo
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.
Rosario Antonio Tantillo, CFP®, who also goes by Tony Tantillo, Rosario A Tantillo, was a registered financial professional .
Rosario is a previously registered financial professional and started their career in finance in 1991. Rosario had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2023 - October 4, 2023
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
June 20, 2023 - July 17, 2025
LPL FINANCIAL LLC
June 20, 2023 - July 17, 2025
LPL FINANCIAL LLC
April 11, 2019 - February 15, 2023
J.P. MORGAN SECURITIES LLC
April 10, 2019 - February 15, 2023
J.P. MORGAN SECURITIES LLC
February 27, 2018 - March 1, 2019
TD AMERITRADE, INC.
February 26, 2018 - March 1, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - March 1, 2019
TD AMERITRADE, INC.
June 28, 2016 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
November 2, 2015 - February 26, 2018
SCOTTRADE, INC.
September 23, 1997 - October 29, 2015
CHARLES SCHWAB & CO., INC.
July 26, 1995 - August 20, 1997
TD AMERITRADE, INC.
August 17, 1994 - June 15, 1995
CITIGROUP GLOBAL MARKETS INC.
November 15, 1991 - July 28, 1994
ARGUS SECURITIES, INC.
June 18, 1991 - September 18, 1991
J. W. GANT & ASSOCIATES, INC.
May 13, 1991 - June 20, 1991
CHATFIELD DEAN & CO., 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
Series 8
Date: 12/6/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
CRD#: 170845 / SEC#: , 8-69435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL CAPITAL PARTNERS, INC | OWNER | |
| KEADY, LAURA ANN | CFO / PFO / POO | 6516152 |
| LANK, STEPHEN JOHN-PATRICK | PRESIDENT | 2997028 |
| LIDDINGTON, JAMES | CHIEF AML OFFICER / MUNICIPAL SECURITIES PRINCIPAL | 4326825 |
| MILLER, EDWARD BRUCE | CEO | 1680275 |
| RICH, DAVID SEAN | CCO | |
| STIEVE, MARK ALAN | SVP | 1521386 |
| THOMPSON, JERRY CHRISTOPHER | VP | 2621099 |
Disclosures
| Arbitration | 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.
