Anthony Minerva
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 Minerva was a registered financial advisor .
Anthony is a previously registered financial advisor and started their career in finance in 1997. Anthony had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55, Series 7, Series 53, Series 4 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
December 9, 2015 - April 21, 2016
RICHARD JAMES & ASSOCIATES, INC.
February 1, 2013 - April 5, 2013
LEGEND FINANCIAL MANAGEMENT
January 2, 2013 - September 1, 2015
J.D. NICHOLAS & ASSOCIATES, INC.
July 23, 2012 - January 7, 2013
LEGEND SECURITIES, INC.
September 20, 2010 - July 18, 2012
CHELSEA FINANCIAL SERVICES
September 12, 2008 - October 19, 2010
J.D. NICHOLAS & ASSOCIATES, INC.
March 22, 2005 - October 9, 2008
FIRST MIDWEST SECURITIES, INC.
June 15, 2004 - April 19, 2005
GUNNALLEN FINANCIAL, INC
November 18, 2003 - April 27, 2004
HARRISON SECURITIES, INC.
July 24, 2000 - October 20, 2003
WORLDCO, L.L.C.
August 6, 1997 - July 21, 2000
CARL H. PFORZHEIMER & CO.
March 12, 1997 - July 15, 1997
DOUGLAS & CO. MUNICIPALS, 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 55
Date: 8/7/1998
Limited Representative-Equity Trader ExamCurrent Firm
RICHARD JAMES & ASSOCIATES, INC.
CRD#: 169131 / SEC#: , 8-69352
Contact information
FINRA licenses (36 States and Territories)
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.
