Anthony R. Carmenate
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 Richard Carmenate, who also goes by Tony Carmenate, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1993. Anthony had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2018 - August 10, 2021
VALIC FINANCIAL ADVISORS, INC.
October 3, 2018 - October 4, 2018
VALIC FINANCIAL ADVISORS, INC.
October 1, 2018 - July 28, 2021
COREBRIDGE CAPITAL SERVICES, INC.
June 16, 2015 - October 19, 2016
NUVEEN ASSET MANAGEMENT, LLC
January 9, 2015 - October 19, 2016
NUVEEN SECURITIES, LLC
August 25, 2011 - January 8, 2015
TEACHERS PERSONAL INVESTORS SERVICES, INC.
April 5, 2005 - March 13, 2009
BOFA ADVISORS, LLC
August 19, 2004 - March 13, 2009
BOFA DISTRIBUTORS, INC.
January 22, 2004 - September 1, 2004
BACAP DISTRIBUTORS, LLC
January 13, 2004 - July 12, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 19, 2003 - July 12, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 12, 1993 - April 25, 2003
ALLIANCEBERNSTEIN INVESTMENTS, INC.
Primary Firm SEC Registration
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
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: 2/28/2024
General Securities Representative ExaminationCurrent Firm
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
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.
