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AS

Anthony Yung Snow

CRD# 2912705·Registered 1998 - 2024
Previously Registered: Being a previously registered professional could mean that Anthony 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.

Professional Summary

Anthony Yung Snow, who also goes by Anthony Snow, Tony Snow, was a registered financial advisor. Anthony was a previously registered financial professional and started their career in finance 1998 - 2024. Anthony had worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Anthony Snow, Tony Snow

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

29 years in the financial services industry

Current & Past Employments

Past

RED OAK PARTNERS, LLCPast·CRD# 172149
RIA
Boca Raton, FL
September 22, 2020 - January 23, 2024
RED OAK PARTNERS, LLCPast·CRD# 172149
RIA
Boca Raton, FL
May 1, 2020 - June 30, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691
BD
New York, NY
March 30, 1998 - July 14, 1999

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Current Firm

RO
RED OAK PARTNERS, LLC

RED OAK PARTNERS, LLC

CRD#: 172149 / SEC#: 802-119276
RIA
Registered Investment Advisory firm - SEC (6/30/2020 Terminated)
Connecticut
Registered Investment Advisory firm - Connecticut (1/29/2024 Terminated)
Florida
Registered Investment Advisory firm - Florida (3/22/2024 Terminated)
Michigan
Registered Investment Advisory firm - Michigan (1/30/2024 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

980 N. Federal Highway Suite 110, Boca Raton, FL 33432

Mailing Address

19 Old Kings Hwy S Suite 200, Darien, CT 06820

Phone Number

(212) 614-8952

Documents

Latest Form ADV

Exempt reporting advisers


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
SECERA - Active7/14/2020

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

President of a small publicly traded company % of management of management and incentive fee on any new investors I bring in.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 2020About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1997About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1998About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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