Anthony A. Rossi
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 Alfred Rossi JR, who also goes by Anthony A Rossi, Anthony Alfred Rossi, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1998. Anthony had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2007 - March 13, 2009
BROOKSTONE SECURITIES, INC.
May 5, 2006 - March 23, 2007
NEWBRIDGE SECURITIES CORPORATION
May 2, 2005 - June 2, 2006
DAWSON JAMES SECURITIES, INC.
March 23, 2004 - May 2, 2005
NEWBRIDGE SECURITIES CORPORATION
October 15, 2003 - December 1, 2003
NEWBRIDGE SECURITIES CORPORATION
September 16, 2002 - July 30, 2003
HARRISON SECURITIES, INC.
September 26, 2000 - October 9, 2001
THINKEQUITY LLC
January 27, 2000 - June 12, 2000
NATIONAL SECURITIES CORPORATION
February 11, 1998 - January 24, 2000
CARNEGIE INVESTOR SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
