Anthony J. Zaffaro
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 James Zaffaro JR was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1991. Anthony had worked at 8 firms and has passed the Series 63, Series 7TO, 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
March 19, 2008 - January 27, 2021
HARRIS ASSOCIATES SECURITIES L.P.
September 15, 2005 - October 6, 2006
GUARDIAN INVESTOR SERVICES LLC
August 17, 2000 - March 19, 2004
ORBITEX FUNDS DISTRIBUTOR, INC.
June 20, 1997 - April 6, 1999
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
February 1, 1995 - April 8, 1997
DWS DISTRIBUTORS, INC.
November 29, 1993 - February 1, 1995
KEMPER FINANCIAL SERVICES, INC.
December 3, 1991 - May 28, 1993
SELECTED FINANCIAL SERVICES, INC.
June 12, 1991 - July 22, 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 7TO
Date: 4/17/2023
General Securities Representative ExaminationCurrent Firm
HARRIS ASSOCIATES SECURITIES L.P.
CRD#: 6959 / SEC#: , 8-19988
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS ASSOCIATES L.P. | LIMITED PARTNER | |
| HARRIS ASSOCIATES INC. | GENERAL PARTNER | |
| KELLER, CHRISTOPHER WOLFGANG | PRESIDENT | 2865184 |
| PIETRAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 4278774 |
| WEBER, ZACHARY DAVID | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5483343 |
| WRIGHT, RANA JEWEL | CHIEF LEGAL AND ADMINISTRATIVE OFFICER | 6357277 |
Disclosures
| Regulatory Event | 2 |
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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