Anthony D. Larkin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Anthony D Larkin was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1995. Anthony had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2014 - December 31, 2015
BLUEFIN RESEARCH PARTNERS, INC.
July 15, 2013 - February 28, 2014
TOPEKA CAPITAL MARKETS INC.
May 21, 2009 - February 26, 2013
BARCLAYS CAPITAL INC.
January 14, 2008 - January 16, 2009
OPPENHEIMER & CO. INC.
June 13, 2005 - January 14, 2008
CIBC WORLD MARKETS CORP.
April 26, 1999 - May 9, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 20, 1999 - May 9, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 22, 1997 - September 1, 1998
SALOMON BROTHERS INC.
February 21, 1995 - December 31, 1998
CITIGROUP GLOBAL MARKETS 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
BLUEFIN RESEARCH PARTNERS, INC.
CRD#: 119582 / SEC#: , 8-65196
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
