Anthony L. Darby

JPMORGAN DISTRIBUTION SERVICES

New York, NY 10172

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CRD#: 3167409

Professional summary

Anthony Lampkin Darby is a registered financial professional currently at JPMORGAN DISTRIBUTION SERVICES, INC. located in New York, New York.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 2001. Anthony has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 26 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 Lampkin Darby's 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

January 18, 2023 - Present

JPMORGAN DISTRIBUTION SERVICES, INC.

Office #1: 277 Park Avenue, New York, NY 10172

CRD#: 104234

New York, NY

Past

September 29, 2006 - January 12, 2023

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

PRINCETON, NJ

Past

September 17, 2001 - September 29, 2006

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

CRD#: 17580

BOSTON, MA

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

New Jersey
(2/7/2024)

New York
(1/18/2023)

Exams

State Security Law Exam

Series 63

Date: 8/3/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/22/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/15/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/4/2002

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

JPMORGAN DISTRIBUTION SERVICES, INC.

JPMORGAN DISTRIBUTION SERVICES, INC. | ONE GROUP DEALER SERVICES, INC.

CRD#: 104234 / SEC#: , 8-52700

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1111 Polaris Parkway, Columbus, OH 43240

Mailing Address

1111 Polaris Parkway Mail Code: Oh1-0004, Columbus, OH 43240

Phone number

(201) 595-1958

Established

Delaware since 10/25/1999

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
JPMORGAN ASSET MANAGEMENT HOLDINGS INC.	STOCKHOLDER
BARTA, WENDY KAY	PRESIDENT AND DIRECTOR	2855534
KLOZA, KEVIN	CHIEF COMPLIANCE OFFICER	2188958
LEKSTUTIS, CARMINE	CHIEF LEGAL OFFICER	6990745
LISHER, ANDREA	DIRECTOR	4493750
MACHULSKI, MICHAEL RICHARD	PRINCIPAL FINANCIAL AND OPERATIONS OFFICER AND DIRECTOR	4726972
SANZONE, JOSEPH FRANK	DIRECTOR	6581797

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Anthony L. Darby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anthony Lampkin Darby's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLACKROCK INVESTMENTS, LLC

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/3/2002

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/22/2015

Series 6

Date: 9/15/2001

Series 26

Date: 10/4/2002

FINRA

Current Firm

JPMORGAN DISTRIBUTION SERVICES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

JPMORGAN DISTRIBUTION SERVICES, INC.

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