David M. Anthony
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.
David Mckay Anthony was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 8 firms and has passed the Series 66, Series 63, Series 55, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2022 - December 31, 2022
ANTHONY CAPITAL, LLC
January 14, 2020 - December 31, 2021
ANTHONY CAPITAL, LLC
May 10, 2013 - December 31, 2019
ANTHONY CAPITAL, LLC
August 4, 2008 - November 20, 2008
TAFFERER TRADING, LLC
March 22, 2005 - December 8, 2006
TAFFERER TRADING, LLC
July 8, 2004 - August 17, 2004
KING FINANCIAL SERVICES, INC.
February 12, 2004 - June 28, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 2004 - February 10, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 2004 - June 28, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 2002 - May 14, 2003
UBS FINANCIAL SERVICES INC.
August 15, 2002 - May 14, 2003
UBS FINANCIAL SERVICES INC.
March 12, 2001 - June 21, 2001
RUMSON CAPITAL, LLC
July 19, 2000 - November 2, 2000
RBC CAPITAL MARKETS, LLC
August 24, 1998 - March 17, 1999
HAROLD DANCE INVESTMENTS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 55
Date: 7/19/2004
Limited Representative-Equity Trader ExamCurrent Firm
ANTHONY CAPITAL, LLC
CRD#: 152504 / SEC#:
Contact information
Red Flags
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