Anthony Padula
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.
Anthony Padula was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1997. Anthony had worked at 9 firms and has passed the SIE, Series 19, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2009 - February 27, 2020
TD PRIME SERVICES LLC
July 23, 2007 - January 7, 2009
BATTENKILL CAPITAL, INC.
November 13, 2006 - August 2, 2007
INTEGRA SECURITIES CORP.
December 16, 2005 - November 30, 2006
FIMAT PREFERRED LLC
January 24, 2005 - December 21, 2005
PRIME EXECUTIONS, INC.
September 30, 2002 - January 12, 2005
WJB CAPITAL GROUP, INC.
June 6, 2002 - September 4, 2002
PADULA, ANTHONY
June 27, 2000 - March 16, 2001
SUTRO & CO. INCORPORATED
January 1, 1997 - April 17, 2002
TUCKER ANTHONY INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 19
Date: 2/23/2017
NYSE Floor Clerk - Equities ExaminationSeries 25
Date: 11/7/2002
NYSE Trading Assistant ExaminationCurrent Firm
TD PRIME SERVICES LLC
CRD#: 1914 / SEC#: , 8-3337
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BALDASSANO, MATTHEW ANTHONY | MANAGING DIRECTOR, HEAD OF PRIME SERVICES | 1645834 |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| PRINCIPATO, ANTHONY JOSEPH | PRINCIPAL OPERATIONS OFFICER / HEAD OF OPERATIONS |
Disclosures
| Regulatory Event | 11 |
Red Flags
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