Anthony Shippee
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 Shippee, who also goes by Tony Shippee, Anthony Winsor Shippee, 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 66, Series 63, Series 57TO, SIE, Series 55, Series 3, 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
April 20, 2020 - October 26, 2021
JONESTRADING
November 18, 2019 - April 7, 2020
CITIGROUP GLOBAL MARKETS INC.
November 16, 2019 - April 7, 2020
CITIGROUP GLOBAL MARKETS INC.
October 3, 2019 - October 31, 2019
EDWARD JONES
September 17, 2019 - October 31, 2019
EDWARD JONES
September 18, 2015 - September 18, 2018
CITIGROUP GLOBAL MARKETS INC.
February 1, 2007 - June 14, 2011
AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC
February 1, 2007 - September 23, 2015
CITI ORDER ROUTING AND EXECUTION, LLC
June 22, 2005 - September 29, 2006
J.P. MORGAN SECURITIES INC.
December 20, 2000 - June 22, 2005
CITIGROUP GLOBAL MARKETS INC.
November 3, 2000 - November 13, 2000
UBS SECURITIES LLC
May 18, 1999 - November 3, 2000
UBS FINANCIAL SERVICES INC.
June 26, 1995 - May 12, 1999
BRIDGE TRADING COMPANY
January 1, 1993 - August 5, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
JONESTRADING
CRD#: 6888 / SEC#: , 8-26089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES & ASSOCIATES, INC. | HOLDING COMPANY | |
| BELL, JEREMY DAVID | CCO | 4498676 |
| CHMIELEWSKI, STEVEN ANDREW | DIRECTOR | 2066307 |
| COHEN, SHLOMO | DIRECTOR | 2877188 |
| COOK, BURKE MCCLAIN | CORPORATE SECRETARY / LEGAL COUNSEL | 4863190 |
| HILL, ALAN FINBAR | CEO / DIRECTOR | 5182098 |
| KIRSCH, WILLIAM TANNER | DIRECTOR | 5428522 |
| LEVEEN, JEFFREY EARLE JR | DIRECTOR | 2919172 |
| MICSKY, JEFFREY A | DIRECTOR | 4820920 |
| ONEIL, TIMOTHY DAWSON | EXECUTIVE CHAIRMAN | 2355507 |
| TESORO, ANTHONY JAMES | DIRECTOR | |
| TESORO, PHILLIP JAMES | DIRECTOR | 2009378 |
| WONG, JEFFREY RYAN | FINANCIAL AND OPERATIONS PRINCIPAL | 4428807 |
Disclosures
| Regulatory Event | 9 |
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.
