AG
Anthony N. Guggino
LPL ENTERPRISE
NEW YORK, NY 10020
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CRD#: 231693
AG
Professional summary
Anthony N Guggino, who also goes by Anthony Guggino, Tony Guggino, is a registered financial professional currently at LPL ENTERPRISE, LLC located in New York, New York.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 1973. Anthony has worked at 12 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Anthony Guggino | Tony Guggino
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.
PRIMARY BUSINESS IS NON-INVESTMENT RELATED AS A GENERAL INSURANCE AGENT FOR LIFE & HEALTH INSURANCE. CONDUCTED DURING NORMAL BUSINESS AND TRADING HOURS. 25HRS PER WEEK IS DEDICATED TO THIS ACTIVITY.
CRS (Client Relationship Summary) - BD
Click below to view Anthony N Guggino'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®
NoneExperience
Current
February 7, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 1270 Avenue Of The Americas Ste 1000, New York, NY 10020RIA
BD
CRD#: 8733
NEW YORK, NY
Past
July 29, 2021 - February 14, 2025
IP FINANCIAL ADVISORY SERVICES LLC
RIA
CRD#: 305772
New York, NY
Past
February 18, 2014 - February 14, 2025
INNOVATION PARTNERS LLC
BD
CRD#: 146344
NEW YORK, NY
Past
November 10, 2006 - January 15, 2014
GLEN EAGLE WEALTH, LLC
BD
CRD#: 124504
KINGSTON, NJ
Past
July 11, 2002 - March 14, 2006
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
January 31, 2000 - July 2, 2002
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
March 31, 1998 - November 30, 1999
BERKSHIRE EQUITY SALES, INC.
BD
CRD#: 87
PITTSFIELD, MA
Past
March 1, 1996 - February 3, 1998
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
April 6, 1995 - December 31, 1996
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
June 10, 1986 - March 1, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
July 3, 1973 - May 27, 1986
MONY SECURITIES CORPORATION
BD
CRD#: 4386
Past
July 3, 1973 - May 28, 1986
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(2/7/2025)
RR
New Jersey(2/7/2025)
RR
New York(2/7/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/28/1973
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
