Anthony W. Maniscalco

N.A. INVESTCORP LLC

New York, NY 10017

Some features on this profile are disabled

CRD#: 2975389

Professional summary

Anthony William Maniscalco is a registered financial professional currently at N.A. INVESTCORP LLC located in New York, New York.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 1998. Anthony has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 William Maniscalco's CRS (Customer Relationship Summary).

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

November 28, 2018 - Present

N.A. INVESTCORP LLC

Office #1: 280 Park Avenue 39th Floor, New York, NY, 10017Office #2: 280 Park Avenue 39th Floor, New York, NY, 10017

CRD#: 134162

New York, NY

Past

January 13, 2016 - February 8, 2018

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

September 22, 2008 - January 25, 2013

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

August 4, 2000 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 1, 1998 - May 17, 2000

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

January 22, 1998 - October 1, 1998

BANCAMERICA SECURITIES, INC.

CRD#: 17977

SAN FRANCISCO, CA

State Registrations and Notice Filings

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

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

Alabama
(11/29/2018)

California
(11/28/2018)

Georgia
(12/4/2018)

Illinois
(12/5/2018)

New York
(12/4/2018)

Ohio
(11/29/2018)

Virginia
(12/13/2018)

Exams

State Security Law Exam

Series 63

Date: 4/8/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/8/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/20/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/10/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

N.A. INVESTCORP LLC

CRD#: 134162 / SEC#: , 8-66812

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

280 Park Avenue 39th Floor, New York, NY, 10017

Mailing Address

280 Park Avenue 39th Floor, New York, NY, 10017

Phone number

(212) 599-4700

Established

Delaware since 11/23/2004

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (7 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
INVESTCORP INTERNATIONAL HOLDINGS, INC.	SHAREHOLDER
GOLDCHAIN, SCOTT DAVID	PRESIDENT AND CHIEF EXECUTIVE OFFICER	3276936
MURPHY, BRIAN JOSEPH	SECRETARY	1720020
QASIMI, SAMI	CHIEF COMPLIANCE OFFICER	5640450
SHEA, PATRICK OFARRELL	HEAD OF INVESTMENT BANKING, FINANCIAL AND OPERATIONAL PRINCIPAL	838154

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Anthony W. Maniscalco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

CREDIT SUISSE SECURITIES (USA) LLC

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

BANC OF AMERICA SECURITIES LLC

BANCAMERICA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/8/2016

SIE

Date: 2/8/2018

Series 7

Date: 1/20/1998

Series 24

Date: 1/10/2007

FINRA

Current Firm

N.A. INVESTCORP LLC

Contact information

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

N.A. INVESTCORP LLC

TRUST BUT VERIFY

Similar Advisors