Anthony J. Malanga
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 Joseph Malanga, who also goes by Tony Malanga, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1992. Anthony had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2010 - December 23, 2016
HCFP/CAPITAL MARKETS LLC
March 13, 2001 - March 12, 2009
NATIXIS SECURITIES NORTH AMERICA INC.
December 16, 1994 - January 11, 2001
UBS FINANCIAL SERVICES INC.
April 8, 1992 - December 23, 1994
KIDDER, PEABODY & CO. INCORPORATED
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
HCFP/CAPITAL MARKETS LLC
CRD#: 149111 / SEC#: , 8-68107
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KATZ, MARIE | FINANCIAL AND OPERATIONS PRINCIPAL AND CCO | 2457660 |
Red Flags
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