Anthony J. Aliotta
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 Joseph Aliotta JR was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1996. Anthony had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2001 - November 27, 2002
DORFMAN SECURITIES, INC.
November 30, 1998 - January 24, 2001
LCP CAPITAL CORP.
May 19, 1998 - January 20, 1999
SHAMROCK PARTNERS, LTD
August 12, 1997 - May 18, 1998
J.P. TURNER & COMPANY, L.L.C.
January 22, 1997 - August 12, 1997
ARGENT SECURITIES, INC.
December 23, 1996 - January 21, 1997
WINCHESTER INVESTMENT SECURITIES, 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
DORFMAN SECURITIES, INC.
CRD#: 31849 / SEC#: , 8-45561
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DORFMAN, ROBERT STEVEN | PRESIDENT, SHAREHOLDER | 2132468 |
Disclosures
| Regulatory Event | 2 |
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.
