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AL

Anthony J. Lopresti

Some features on this profile are disabled
CRD#: 2636322
AL

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

Are you a "fiduciary"?
No

Aliases

Anthony Lopresti

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 8, 1999 - April 3, 2000

W.A. CAPITAL MARKETS

BD
CRD#: 6292
NEW YORK, NY
Past

July 17, 1997 - March 22, 1999

CAMBRIDGE CAPITAL, LLC

BD
CRD#: 41464
GARDEN CITY, NY
Past

June 27, 1997 - September 9, 1997

ROYAL HUTTON SECURITIES CORP.

BD
CRD#: 14489
NEW YORK, NY
Past

April 10, 1997 - September 25, 1997

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ
Past

January 16, 1997 - April 21, 1997

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

March 15, 1996 - April 9, 1997

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ
Past

January 30, 1996 - March 20, 1996

COMPREHENSIVE CAPITAL CORPORATION

BD
CRD#: 6215
GREAT NECK, NY
Past

July 19, 1995 - November 10, 1995

FIRST ASSET MANAGEMENT, INC.

BD
CRD#: 17341
GARDEN CITY, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/15/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/1995
General Securities Representative Examination

Current Firm

WC
W.A. CAPITAL MARKETS
MURPHY & DURIEU | W.A. CAPITAL MARKETS | MURPHY, DURIEU & NADDELL

CRD#: 6292 / SEC#: , 8-16871

BD
Terminated by SEC on 04/20/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 11/19/1974
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MURPHY, RICHARD JAMESREGISTERED OPTIONS PRINCIPAL (SROP)1016183
MURPHY, RICHARD JAMESGENERAL PARTNER1016183
GEM NEW YORK, LLCGENERAL PARTNER
MILLAR, DOUGLAS MACARTHURCHIEF COMPLIANCE OFFICER1631198
MURPHY, GLORIA ELIMITED PARTNER3150528
PETRI, RICHARD THOMASFINANCIAL & OPERATIONS PRINCIPAL3039438

Disclosures

Regulatory Event29
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

W.A. CAPITAL MARKETS

CRD#: 6292

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