Anthony J. Plinio

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CRD#: 2792914

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 John Plinio, who also goes by Aj Plinio, Anthony J Plinio, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 1996. Anthony had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Aj Plinio | Anthony J Plinio

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

October 19, 2016 - January 30, 2018

CG CAPITAL MARKETS, LLC

CRD#: 35513

BOCA RATON, FL

Past

December 9, 2013 - December 23, 2014

CAPITAL GUARDIAN, LLC

CRD#: 137919

WEST PALM BEACH, FL

Past

December 13, 2011 - October 23, 2013

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758

BOCA RATON, FL

Past

September 13, 2010 - September 20, 2011

CAROLINA CAPITAL MARKETS, INC.

CRD#: 38156

CHAPEL HILL, NC

Past

April 12, 2010 - September 9, 2010

EDWARD JONES

RIA

CRD#: 250

WILMINGTON, NC

Past

March 26, 2010 - September 9, 2010

EDWARD JONES

CRD#: 250

WILMINGTON, NC

Past

March 29, 2005 - January 3, 2008

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

March 10, 2003 - March 28, 2005

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

May 19, 1999 - February 25, 2003

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

February 9, 1999 - May 14, 1999

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

May 12, 1997 - January 4, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 8, 1996 - May 8, 1997

A.S. GOLDMEN & CO., INC.

CRD#: 23180

RED BANK, NJ

Past

September 23, 1996 - October 2, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, 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

IAR

Series 66

Date: 4/9/2010

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/6/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/8/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/25/2010

General Securities Representative Examination

Current Firm

CG CAPITAL MARKETS, LLC

CG CAPITAL MARKETS, LLC | VALLEY FORGE DISTRIBUTORS, INC. | VALLEY FORGE BROKERAGE, INC. | TAG SECURITIES, INC. | RUPAY-BARRINGTON SECURITIES CORPORATION

CRD#: 35513 / SEC#: , 8-46710

Terminated by SEC on 02/01/2019

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 03/19/2015

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
CG CAPITAL MARKETS HOLDINGS, LLC	OWNER/MEMBER
HOUSE, DAVID WAYNE	CHIEF OPERATING OFFICER/PRESIDENT	3005187
PASTINE, ARMAND RALPH	CHIEF EXECUTIVE OFFICER/MANAGING MEMBER	2257531
RENEO, PETER	CHIEF COMPLIANCE OFFICER	4502298
SINGER, STEVEN FREDERIC	CHIEF FINANCIAL OFFICER	2360737

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Anthony J. Plinio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL GUARDIAN, LLC

COHEN & COMPANY SECURITIES, LLC

CAROLINA CAPITAL MARKETS, INC.

EDWARD JONES

EDWARD JONES

MAXIM GROUP LLC

TD AMERITRADE, INC.

FIDELITY BROKERAGE SERVICES LLC

FIRST UNION BROKERAGE SERVICES, INC.

UBS FINANCIAL SERVICES INC.

A.S. GOLDMEN & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 4/9/2010

Series 65

Date: 3/6/1998

Series 63

Date: 11/8/1996

SIE

Date: 1/30/2018

Series 7

Date: 3/25/2010

Current Firm

CG CAPITAL MARKETS, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CG CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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