Anthony Joseph Peluso
Professional Summary
Anthony Joseph Peluso, who also goes by A Nicolosi, Anthony Joseph Nicolosi Jr, Anthony Nicolosi, Anthony J Peluso, Tony Joseph Peluso, was a registered financial advisor. Anthony was a previously registered financial professional and started their career in finance 1994 - 2000. Anthony had worked at 13 firms and has passed the Series 63 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
A Nicolosi, Anthony Joseph Nicolosi Jr, Anthony Nicolosi, Anthony J Peluso, Tony Joseph Peluso
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
No current employment
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
32 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
INTL CUSTODY & CLEARING SOLUTIONS INC. | STERNE AGEE CLEARING INC. | STERNE AGEE CLEARING INC | STERNE AGEE CLEARING | STERNE AGEE CAPITAL MARKETS, INC. | SAL FINANCIAL SERVICES, INC. | SAL FINANCIAL SERVICES
Contact Information
Established
Delaware since 01/22/2002Firm Type
CorporationFiscal Year End
SeptemberDocuments
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
2Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
