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AC

Anthony Caserta

CONSTELLATION
MANVEL, TX 77578
Some features on this profile are disabled
CRD#: 2924765
AC

Professional summary

Anthony Caserta is a registered financial professional currently at CONSTELLATION located in Manvel, Texas.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 1997. Anthony has worked at 5 firms and has passed the Series 63, SIE, Series 3 and Series 7 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) - BD

Click below to view Anthony Caserta's CRS (Customer Relationship Summary).

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

Current

August 23, 2022 - Present

CONSTELLATION

Office #1: 4930 Olive Province Ln, Manvel, TX 77578
BD
CRD#: 311178
MANVEL, TX
Past

July 26, 2016 - August 12, 2021

NATIXIS SECURITIES AMERICAS LLC

BD
CRD#: 1101
NEW YORK, NY
Past

September 2, 2009 - September 2, 2011

MF GLOBAL INC.

BD
CRD#: 6731
NEW YORK, NY
Past

May 19, 2004 - June 4, 2008

ABBEY NATIONAL SECURITIES INC.

BD
CRD#: 112219
STAMFORD, CT
Past

August 18, 1997 - May 14, 2004

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(8/29/2022)
RR
New Jersey
(8/29/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/30/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/25/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CO
CONSTELLATION
CONSTELLATION | CONSTELLATION P2P, LLC

CRD#: 311178 / SEC#: , 8-70608

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

Main Address
4930 Olive Province Ln, Manvel, TX 77578
Mailing Address
4930 Olive Province Ln, Manvel, TX 77578
Phone number
(917) 498-7387
Established
Delaware since 04/21/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FINOPTSYS, INC.SOLE MEMBER
BHAKTA, DIVYESHCHIEF EXECUTIVE OFFICER4885868
ESSLINGER, OLIVERCHIEF COMPLIANCE OFFICER7163608
RANKEL, WILLIAM EDWINFINOP2074785

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

CONSTELLATION

CRD#: 311178Manvel, TX 77578

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