Anthony G. Gilchrist
Professional summary
Anthony Graham Gilchrist was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Anthony is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Anthony had worked at 4 firms, which includes CANTELLA & CO. INC., RAYMOND JAMES FINANCIAL SERVICES INC., ROBERT THOMAS SECURITIES INC, SANDS BROTHERS & CO. LTD..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2000 - March 9, 2005
CANTELLA & CO., INC.
January 4, 1999 - February 24, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 28, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
February 24, 1994 - September 21, 1998
SANDS BROTHERS & CO., LTD.
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 8
Date: 7/15/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
Red Flags
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