Anthony Schiff
Professional Summary
Anthony Schiff, who also goes by Anthony Goodwin Schiff, is a registered financial advisor currently at 1230 ADVISORS, LLC located in Pound Ridge, New York. Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Anthony has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Anthony Schiff, Anthony Goodwin Schiff
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
Disclosures on record.
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.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
Years of Experience
30 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
Current Firm
1230 ADVISORS, LLC | 1230 CAPITAL LLC
Contact Information
Main Address
25 Autumn Ridge Road, Pound Ridge, NY 10576Phone Number
(917) 692-1095# of Employees
1SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
78AUM (Assets Under Management)
$106,200,000Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
1230 ADVISORS, LLC | 1230 CAPITAL LLC
State Registrations and Notice Filings
(5/9/2021)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Schiff's CRS (Customer Relationship Summary).
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC