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AZ

Anthony J. Zaccagnino

CALDWELL INVESTMENT SERVICES
Caldwell, TX
Some features on this profile are disabled
CRD#: 2299103
AZ

Professional summary

Anthony James Zaccagnino is a registered financial advisor currently at CALDWELL INVESTMENT SERVICES LLC located in Caldwell, Texas.

Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Anthony has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony James Zaccagnino's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 27, 2021 - Present

CALDWELL INVESTMENT SERVICES LLC

RIA
CRD#: 317283
Caldwell, TX
Past

January 14, 1993 - October 28, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
CALDWELL, TX
Past

December 11, 1992 - October 28, 2003

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

December 11, 1992 - October 28, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Texas
(10/27/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/11/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/8/1992
General Securities Representative Examination

Current Firm

CI
CALDWELL INVESTMENT SERVICES LLC
CALDWELL INVESTMENT SERVICES LLC | CALDWELL INVESTMENT SERVICES, L.L.C.

CRD#: 317283 / SEC#:

Texas
Registered Investment Advisory firm - (10/27/2021 Approved)
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Contact information

Main Address
Caldwell, TX
Mailing Address
Phone number
(512) 788-4567
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts1
AUM (Assets Under Management)$ 35,000

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.

Company Information

CALDWELL INVESTMENT SERVICES LLC

CRD#: 317283Caldwell, TX

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