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Anthony Michael Tanico

CRD# 2400898·Registered 1994 - 1999
Barred: Anthony Michael Tanico was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Anthony Michael Tanico was a registered financial advisor. Anthony was a previously registered financial professional and started their career in finance 1994 - 1999. Anthony had worked at 9 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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.

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Years of Experience

32 years in the financial services industry

Current & Past Employments

KLEIN, MAUS & SHIRE INC.·CRD# 20527
BD
New York, NY
December 7, 1999 - December 7, 1999
ROSS SECURITIES CORP.·CRD# 30263
BD
Boca Raton, FL
October 27, 1998 - December 8, 1998
J.P. TURNER & COMPANY, L.L.C.·CRD# 43177
BD
Atlanta, GA
August 27, 1997 - August 11, 1998
ARGENT SECURITIES, INC.·CRD# 15297
BD
Atlanta, GA
May 14, 1997 - August 12, 1997
LCP CAPITAL CORP.·CRD# 14469
BD
Staten Island, NY
January 17, 1996 - June 6, 1997
TOLUCA PACIFIC SECURITIES CORP.·CRD# 13875
BD
Burbank, CA
September 21, 1995 - January 1, 1996
HANOVER, STERLING & COMPANY LTD.·CRD# 15491
BD
New York, NY
January 13, 1995 - July 11, 1995
BARRETT DAY SECURITIES, INC.·CRD# 17717
BD
New York, NY
July 6, 1994 - January 15, 1995
RUSSO SECURITIES INC.·CRD# 14425
BD
Staten Island, NY
May 4, 1994 - June 23, 1994

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Current Firm

KM
KLEIN, MAUS & SHIRE INC.

KHAN, EDWARDS & COMPANY | KLEIN, MAUS & SHIRE INC.

CRD#: 20527 / SEC#: 8-38302
BD
Cancelled by SEC on 01/31/2007

Contact Information

Established

Indiana since 08/16/1994

Firm Type

Corporation

Fiscal Year End

December

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1994About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1994About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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