Anthony V. Pranzo

NEW YORK FINANCIAL AVP

Windham, NY

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CRD#: 2996617

Professional summary

Anthony Vincent Pranzo is a registered financial advisor currently at NEW YORK FINANCIAL AVP, LLC located in Windham, New York.

Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Anthony has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

NEW YORK STATE LICENSED AS INSURANCE AGENT FOR LIFE, ACCIDENT AND HEALTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

INVESTACORP, INC.

CRD#: 7684

WINDHAM, NY

Past

November 22, 2004 - August 23, 2006

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

March 8, 2004 - December 7, 2004

LADENBURG THALMANN ASSET MANAGEMENT INC

RIA

CRD#: 108604

MELVILLE, NY

Past

November 20, 2002 - December 7, 2004

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

March 16, 1998 - November 20, 2002

LADENBURG CAPITAL MANAGEMENT INC.

CRD#: 14623

BETHPAGE, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(1/11/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/17/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/25/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/13/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/10/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/13/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 7/28/2000

General Securities Principal Examination

Current Firm

NEW YORK FINANCIAL AVP, LLC

NEW YORK FINANCIAL AVP, LLC | PRANZO, ANTHONY V | NEW YORK FINANCIAL AVP,LLC

CRD#: 170047 / SEC#:

Colorado

Registered Investment Advisory firm - (1/5/2022 Terminated)

New York

Registered Investment Advisory firm - (2/27/2014 Approved)

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).

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Contact information

Main Address

Windham, NY

Mailing Address

Phone number

(518) 750-8100

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 1,187,500

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.

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Anthony V. Pranzo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

NEW YORK FINANCIAL AVP, LLC

INVESTACORP ADVISORY SERVICES INC

INVESTACORP ADVISORY SERVICES INC

INVESTACORP, INC.

NEWBRIDGE SECURITIES CORPORATION

LADENBURG THALMANN ASSET MANAGEMENT INC

LADENBURG THALMANN & CO. INC.

LADENBURG CAPITAL MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/17/2002

Series 63

Date: 3/25/1998

Series 7

Date: 3/13/1998

Series 10

Date: 5/10/2001

Series 9

Date: 4/13/2001

Series 24

Date: 7/28/2000

Current Firm

NEW YORK FINANCIAL AVP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NEW YORK FINANCIAL AVP, LLC

TRUST BUT VERIFY

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