Anthony D. Cesta
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 Domenic Cesta, who also goes by Anthony Cesta, Antonio Domenico Cesta, Tony Cesta, was a registered financial advisor .
Anthony is a previously registered financial advisor and started their career in finance in 1997. Anthony had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 55, Series 31, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2013 - August 5, 2013
TRADINGBLOCK
February 11, 2005 - September 11, 2012
BROKERSXPRESS LLC
December 4, 2003 - January 3, 2005
U.S. BANCORP ADVISORS, LLC
December 3, 2003 - January 3, 2005
U.S. BANCORP ADVISORS, LLC
April 10, 2002 - September 5, 2003
BROWNCO, LLC
October 4, 2000 - June 7, 2002
DREYFUS BROKERAGE SERVICES, INC.
June 29, 2000 - September 20, 2000
TD AMERITRADE, INC.
February 2, 2000 - May 16, 2000
MORGAN STANLEY DW INC.
November 7, 1997 - January 7, 2000
TD AMERITRADE, INC.
September 24, 1997 - November 7, 1997
KENNEDY, CABOT & CO.
June 19, 1997 - September 3, 1997
FIRST MONTAUK SECURITIES CORP.
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
Series 55
Date: 12/30/2000
Limited Representative-Equity Trader ExamCurrent Firm
TRADINGBLOCK
CRD#: 128605 / SEC#: , 8-66163
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIA HOLDINGS INC. | OWNER | |
| HEFFERNAN, THOMAS ROBERT | VP | 5538731 |
| HOEH, PHILLIP JOHN | CCO | 2231877 |
| MARTINO, GARY ANTHONY | VP | 1458334 |
| OGILVIE, DONAL SHANNON | COO | 2863275 |
| VANDERHOOF, JOEL MICHAEL | PRESIDENT - INVESTMENT BANKING | 4152196 |
| WALLACE, ROBERT DIRLAM | CFO | 4606185 |
| WICKERT, JERE THOMAS | CEO AND PRESIDENT | 2079719 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
