Antonio Almeida
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.
Antonio Almeida, who also goes by Tony Almeida, was a registered financial professional .
Antonio is a previously registered financial professional and started their career in finance in 1998. Antonio had worked at 14 firms and has passed the Series 63, Series 79TO, Series 57TO, Series 7TO, SIE, Series 55 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 21, 2020 - February 12, 2021
WORDEN CAPITAL MANAGEMENT LLC
March 18, 2014 - December 15, 2017
AEGIS CAPITAL CORP.
October 8, 2012 - April 3, 2014
GLOBAL ARENA CAPITAL CORP
May 31, 2012 - October 8, 2012
B.B. GRAHAM & COMPANY, INC.
February 11, 2011 - May 31, 2012
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
November 30, 2010 - February 14, 2011
JOHN CARRIS INVESTMENTS LLC
July 14, 2010 - December 15, 2010
JOHN THOMAS FINANCIAL
June 29, 2010 - July 14, 2010
AEGIS CAPITAL CORP.
March 16, 2010 - July 7, 2010
JOHN THOMAS FINANCIAL
May 12, 2008 - November 20, 2008
GUNNALLEN FINANCIAL, INC
August 17, 2007 - May 13, 2008
FIRST MIDWEST SECURITIES, INC.
October 23, 2006 - March 12, 2007
OPUS TRADING FUND LLC
February 10, 2005 - November 6, 2006
FAGENSON & CO., INC.
July 7, 2004 - January 21, 2005
SCHOTTENFELD GROUP LLC
January 29, 2001 - July 6, 2004
PUGLISI & CO.
October 23, 1998 - January 30, 2001
LADENBURG CAPITAL MANAGEMENT INC.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 55
Date: 4/7/1999
Limited Representative-Equity Trader ExamCurrent Firm
WORDEN CAPITAL MANAGEMENT LLC
CRD#: 148366 / SEC#: , 8-68010
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 12 |
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.
