Anthony P. Postiglione
Professional summary
Anthony Pasquale Postiglione JR was barred by 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 4 firms, which includes CREDIT SUISSE SECURITIES (USA) LLC, PERSHING LLC, LEGG MASON WOOD WALKER INCORPORATED, AMERIPRISE ADVISOR SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2001 - August 16, 2001
CREDIT SUISSE SECURITIES (USA) LLC
February 9, 1998 - August 16, 2001
PERSHING LLC
September 9, 1996 - January 30, 1998
LEGG MASON WOOD WALKER, INCORPORATED
September 28, 1994 - September 19, 1996
AMERIPRISE ADVISOR SERVICES, 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
Series 8
Date: 3/7/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
