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Anthony Reid Budd

CRD# 2267530·Registered 1994 - 2012
Previously Registered: Being a previously registered professional could mean that Anthony 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.

Professional Summary

Anthony Reid Budd was a registered financial advisor. Anthony was a previously registered financial professional and started their career in finance 1994 - 2012. Anthony had worked at 7 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

32 years in the financial services industry

Current & Past Employments

DISCERN SECURITIES, INC.·CRD# 155854
BD
New York, NY
November 3, 2011 - September 27, 2012
TICONDEROGA SECURITIES LLC·CRD# 7671
BD
New York, NY
October 27, 2009 - May 6, 2010
VISTA RESEARCH BROKERAGE, INC.·CRD# 130125
BD
New York, NY
September 10, 2004 - August 28, 2007
KEYBANC CAPITAL MARKETS INC.·CRD# 566
BD
Cleveland, OH
April 16, 2001 - March 4, 2003
GLEACHER & COMPANY SECURITIES, INC.·CRD# 298
BD
New York, NY
February 4, 1999 - May 9, 2001
COWEN AND COMPANY·CRD# 7616
BD
New York, NY
July 1, 1998 - January 4, 1999
FINANCIAL SQUARE PARTNERS·CRD# 1541
BD
New York, NY
April 18, 1994 - July 1, 1998

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Current Firm

DS
DISCERN SECURITIES, INC.

DISCERN SECURITIES, INC.

CRD#: 155854 / SEC#: 8-68748
BD
Terminated by SEC on 09/11/2016

Contact Information

Established

Delaware since 11/05/2010

Firm Type

Corporation

Fiscal Year End

June

Documents

Direct owners and executive officers

NamePositionCRD#
DISCERN GROUP, INC.100% OWNER—
DICKSON, HENRY CHARLESPRINCIPAL, DIRECTOR OF RESEARCH1623667
COLLINS, ELIZABETH SARAHPART TIME FINOP4714831
STARBIRD, SCOTT EDRICCEO, CCO, CFO AND SECONDARY FINOP1412683

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 2009About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1994About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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