Anthony J. Altobelli
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 Joseph Altobelli was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1994. Anthony had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2016 - December 11, 2018
ALLIANZ LIFE FINANCIAL SERVICES, LLC
February 4, 2016 - February 9, 2016
FISHER INVESTMENTS
September 6, 2013 - November 30, 2015
UBS FINANCIAL SERVICES INC.
August 29, 2013 - November 30, 2015
UBS FINANCIAL SERVICES INC.
February 23, 2012 - July 25, 2013
HARRISDIRECT LLC
January 9, 2002 - July 25, 2013
E*TRADE SECURITIES LLC
June 28, 2000 - January 3, 2002
MORGAN STANLEY DW INC.
September 24, 1999 - June 20, 2000
PARK AVENUE SECURITIES LLC
April 10, 1996 - September 30, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 10, 1996 - September 30, 1999
EQUITABLE ADVISORS, LLC
September 13, 1994 - April 3, 1996
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
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
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.
