Anthony J. Peluso
Professional summary
Anthony Joseph Peluso was barred by both the FINRA and the SEC 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 13 firms, which includes INTL CUSTODY & CLEARING SOLUTIONS INC., CITICORP INVESTMENT SERVICES, EMERSON BENNETT & ASSOCIATES, SUMMIT BROKERAGE SERVICES INC., TRADEWAY SECURITIES GROUP INC., FIRST LIBERTY INVESTMENT GROUP INC., ROYAL HUTTON SECURITIES CORP., INVESTORS ASSOCIATES INC., JOSEPH ROBERTS & CO. INC., FIRST SECURITY INVESTMENTS INC., ROYAL PALM INVESTMENTS LTD., D. H. BLAIR & CO. INC., FIRST ASSET MANAGEMENT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2000 - December 20, 2000
INTL CUSTODY & CLEARING SOLUTIONS INC.
October 14, 1999 - December 22, 1999
CITICORP INVESTMENT SERVICES
March 4, 1999 - September 28, 1999
EMERSON BENNETT & ASSOCIATES
February 10, 1999 - March 19, 1999
SUMMIT BROKERAGE SERVICES, INC.
November 13, 1998 - February 26, 1999
TRADEWAY SECURITIES GROUP, INC.
September 17, 1997 - November 17, 1997
FIRST LIBERTY INVESTMENT GROUP, INC.
June 16, 1997 - August 27, 1997
ROYAL HUTTON SECURITIES CORP.
October 24, 1996 - July 18, 1997
INVESTORS ASSOCIATES, INC.
September 24, 1996 - October 18, 1996
JOSEPH ROBERTS & CO., INC.
June 28, 1996 - September 5, 1996
FIRST SECURITY INVESTMENTS, INC.
March 1, 1996 - June 28, 1996
ROYAL PALM INVESTMENTS, LTD.
February 9, 1995 - March 4, 1996
D. H. BLAIR & CO., INC.
November 4, 1994 - February 8, 1995
FIRST ASSET MANAGEMENT, INC.
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
INTL CUSTODY & CLEARING SOLUTIONS INC.
CRD#: 23952 / SEC#: , 8-40771
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HARROD, PATRICIA MARIE | DIRECTOR | 6180887 |
| LYON, CHARLES MARTIN | CHIEF EXECUTIVE OFFICER | 4000852 |
| NGUYEN, XUONG THO | DIRECTOR | 2249867 |
| O'CONNOR, SEAN MICHAEL | DIRECTOR | 2534352 |
| SEPHTON, BRIAN TRIGGER | DIRECTOR | 4141441 |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
| WAGSTAFF, CONNER FRED III | CFO/TREASURER/FINOP | 1427591 |
Disclosures
| Regulatory Event | 2 |
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