Anthony L. Alfani
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 Luigi Alfani was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1995. Anthony had worked at 2 firms and has passed the Series 63, Series 7 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
March 28, 1996 - May 22, 2001
LADENBURG CAPITAL MANAGEMENT INC.
February 26, 1996 - March 4, 1996
LADENBURG CAPITAL MANAGEMENT INC.
April 5, 1995 - March 1, 1996
LANDMARK INTERNATIONAL EQUITIES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LADENBURG CAPITAL MANAGEMENT INC.
CRD#: 14623 / SEC#: , 8-30728
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 14 |
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.
