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Anthony P. Guarraci

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CRD#: 2906418
AG

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 Peter Guarraci was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 1997. Anthony had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 30 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

March 1, 2016 - February 21, 2020

OPEN TO THE PUBLIC INVESTING, INC.

BD
CRD#: 127818
New York, NY
Past

November 7, 2014 - May 2, 2025

T3 TRADING GROUP, LLC

BD
CRD#: 154431
Atlanta, GA
Past

April 3, 2013 - June 16, 2016

WORLD-XECUTION STRATEGIES

BD
CRD#: 134645
NEW YORK, NY
Past

October 14, 2011 - November 7, 2014

WTS PROPRIETARY TRADING GROUP LLC

BD
CRD#: 148117
NEW YORK, NY
Past

July 22, 2010 - December 10, 2012

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL
Past

October 6, 2005 - July 26, 2010

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
ATLANTA, GA
Past

June 3, 2003 - October 12, 2005

LIGHTSPEED PROFESSIONAL TRADING LLC

BD
CRD#: 39293
NEW YORK, NY
Past

February 26, 1999 - April 14, 2003

HEARTLAND SECURITIES CORP.

BD
CRD#: 43201
EDISON, NJ
Past

September 5, 1997 - April 21, 1998

ICAPITAL MARKETS LLC

BD
CRD#: 5209
OMAHA, NE

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
RR
Series 63
Date: 9/13/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/2/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 4/19/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/4/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 10/15/2012
NFA Branch Manager Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/21/2001
General Securities Principal Examination

Current Firm

OT
OPEN TO THE PUBLIC INVESTING, INC.
LIQUID PRIME SERVICES INC. | TACONIC CAPITAL GROUP INC. | T3 SECURITIES, INC. | PUBLIC INVESTING | PUBLIC | OPEN TO THE PUBLIC INVESTING, INC. | LIQUID PRIME SERVICES, INC.

CRD#: 127818 / SEC#: , 8-66049

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
6 Harrison St 5th Floor/suite, New York, NY 10013
Mailing Address
228 Park Ave. S Suite 97716, New York, NY 10003
Phone number
(212) 401-6946
Established
New York since 05/16/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PUBLIC HOLDINGS, INC.OWNER
SIKES, STEPHEN WILLIAMCHIEF EXECUTIVE OFFICER6912545
VERLINDE, EMILY ANNCHIEF COMPLIANCE OFFICER5686644
WANG, YIFEIFINOP7330450

Disclosures

Regulatory Event4

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.

Company Information

OPEN TO THE PUBLIC INVESTING, INC.

CRD#: 127818

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