Anthony J. Lopresti
Professional summary
Anthony John Lopresti 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 1995. Prior to being barred, Anthony had worked at 7 firms, which includes W.A. CAPITAL MARKETS, CAMBRIDGE CAPITAL LLC, ROYAL HUTTON SECURITIES CORP., INVESTORS ASSOCIATES INC., GKN SECURITIES CORP., COMPREHENSIVE CAPITAL CORPORATION, FIRST ASSET MANAGEMENT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 1999 - April 3, 2000
W.A. CAPITAL MARKETS
July 17, 1997 - March 22, 1999
CAMBRIDGE CAPITAL, LLC
June 27, 1997 - September 9, 1997
ROYAL HUTTON SECURITIES CORP.
April 10, 1997 - September 25, 1997
INVESTORS ASSOCIATES, INC.
January 16, 1997 - April 21, 1997
GKN SECURITIES CORP.
March 15, 1996 - April 9, 1997
INVESTORS ASSOCIATES, INC.
January 30, 1996 - March 20, 1996
COMPREHENSIVE CAPITAL CORPORATION
July 19, 1995 - November 10, 1995
FIRST ASSET MANAGEMENT, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
Red Flags
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