Douglas D. Rivelli
Professional summary
Douglas Duvall Rivelli is a registered financial professional currently at ANOS CAPITAL, LLC located in New York, New York.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1991. Douglas has worked at 14 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Duvall Rivelli's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 9, 2019 - Present
ANOS CAPITAL, LLC
Office #1: 405 Lexington Avenue 9th Floor, New York, NY 10174Office #2: 405 Lexington Avenue 9th Floor, New York, NY 10174Office #3: 3414 Peachtree Road Ne Suite 730, Atlanta, GA 30326June 30, 2017 - October 25, 2017
JONESTRADING
June 2, 2015 - July 21, 2017
AUERBACH GRAYSON & COMPANY LLC
May 2, 2012 - February 13, 2013
ATM
March 9, 2012 - February 13, 2013
TD ARRANGED SERVICES LLC
April 11, 2011 - February 13, 2013
COWEN AND COMPANY
January 28, 2009 - January 3, 2011
PRAGMA LLC
January 28, 2003 - January 3, 2011
WEEDEN & CO.L.P.
May 30, 2000 - February 10, 2003
NATIONAL FINANCIAL SERVICES LLC
August 14, 1998 - May 4, 2000
GOLDMAN SACHS & CO. LLC
April 18, 1996 - July 23, 1998
MELLON FUNDS DISTRIBUTOR, L.P.
September 16, 1993 - March 22, 1996
FIDELITY DISTRIBUTORS CORPORATION
October 4, 1991 - November 5, 1991
IDS LIFE INSURANCE COMPANY
October 4, 1991 - November 5, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/16/2019)
(7/17/2019)
(7/17/2019)
(7/17/2019)
(7/9/2019)
(7/16/2019)
(7/16/2019)
(8/26/2019)
(7/18/2019)
(7/22/2019)
(7/22/2019)
(7/25/2019)
(7/9/2019)
(7/24/2019)
(7/24/2019)
(7/11/2019)
(7/15/2019)
(7/17/2019)
(7/16/2019)
(7/10/2019)
(7/12/2019)
(7/10/2019)
(7/16/2019)
(8/1/2019)
(7/16/2019)
(7/11/2019)
(7/19/2019)
(7/19/2019)
(7/17/2019)
(7/18/2019)
(7/19/2019)
(7/15/2019)
(7/17/2019)
(7/16/2019)
(7/9/2019)
(7/17/2019)
(7/10/2019)
(7/12/2019)
(7/16/2019)
(7/17/2019)
(7/17/2019)
(7/10/2019)
(7/16/2019)
(7/16/2019)
(7/18/2019)
(7/17/2019)
(7/25/2019)
(7/16/2019)
(7/16/2019)
Exams
Series 99TO
Date: 10/26/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/7/2000
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
Nasdaq Stock Market
Current Firm
ANOS CAPITAL, LLC
CRD#: 284714 / SEC#: , 8-69809
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANOS HOLDINGS, LLC | OWNER | |
| DALLAL, JEFFREY HARON | PRESIDENT/CHIEF OPERATING OFFICER | 2316096 |
| DANIELE, EDWARD ROBERT | CHIEF COMPLIANCE OFFICER/AML OFFICER | 1224878 |
| EMMERICH, CLIFFORD GENNARO | SENIOR MANAGING DIRECTOR HEAD OF SALES AND TRADING | 2412767 |
| IANNUCCI, MICHAEL CHRISTOPHER | IA TRANSITION MANAGEMENT | 4709972 |
| PAPATSOS, JOHN NICK | FINOP | 4416912 |
| RIVELLI, DOUGLAS DUVALL | CHIEF EXECUTIVE OFFICER | 2174199 |
Red Flags
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