Anthony V. Spilabotte
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 Vincent Spilabotte, who also goes by Antholy V Spilabotti, Anthony V Spilabotti, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1992. Anthony had worked at 8 firms and has passed the Series 63 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 30, 1997 - July 23, 1998
D.L. CROMWELL INVESTMENTS, INC.
February 25, 1997 - July 8, 1997
MERIT CAPITAL ASSOCIATES, INC.
November 11, 1996 - March 13, 1997
THE HAMILTON-SHEA GROUP, INC.
October 18, 1996 - October 21, 1996
JOSEPH ROBERTS & CO., INC.
April 18, 1996 - October 17, 1996
CASTLE SECURITIES CORP.
May 17, 1995 - March 29, 1996
MORGAN STANLEY DW INC.
August 19, 1993 - April 10, 1995
GRUNTAL & CO., L.L.C.
April 14, 1993 - September 1, 1993
PRUDENTIAL EQUITY GROUP, LLC
September 25, 1992 - January 25, 1993
GRUNTAL & CO., L.L.C.
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
D.L. CROMWELL INVESTMENTS, INC.
CRD#: 37730 / SEC#: , 8-47938
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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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