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Anthony R. Esposito

CRD#: 3221801
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AE
Anthony Ralph Esposito

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 Ralph Esposito, who also goes by Anthony R Esposito Jr, Anthony R Esposito, Anthony Ralph Esposito, Anthony Esposito, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 1999. Anthony had worked at 7 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anthony R Esposito Jr | Anthony R Esposito | Anthony Ralph Esposito | Anthony Esposito

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 1, 2025 - June 15, 2026

LUCID CAPITAL MARKETS, LLC

BD
CRD#: 140345
New York, NY
Past

November 14, 2017 - November 8, 2024

J.P. MORGAN PRIME INC.

BD
CRD#: 282107
NEW YORK, NY
Past

October 1, 2016 - November 8, 2024

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Newark, DE
Past

February 3, 2015 - October 1, 2016

J.P. MORGAN CLEARING CORP.

BD
CRD#: 28432
NEW YORK, NY
Past

August 17, 2004 - December 10, 2014

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

July 19, 2001 - October 3, 2002

SWISS AMERICAN SECURITIES INC.

BD
CRD#: 7973
NEW YORK, NY
Past

May 25, 1999 - December 1, 2000

SANFORD C. BERNSTEIN & CO., INC.

BD
CRD#: 1232
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/3/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/22/1999
General Securities Representative Examination

Current Firm

LC
LUCID CAPITAL MARKETS, LLC
AMERICAS EXECUTIONS | SURKIS, BARRY NMN | SURKIS, BARRY | SURKIS INCORPORATED | LUCID CAPITAL MARKETS, LLC | LUCID CAPITAL MARKETS LLC. | LUCID CAPITAL MARKETS | AMERX | AMERICAS EXECUTIONS, LLC | AMERICAS EXECUTIONS, INC.

CRD#: 140345 / SEC#: , 8-67305

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005
Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038
Phone number
(212) 306-2700
Established
New York since 06/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GI4 HOLDINGS, LLCSOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL1616912
SHAPIRO, ANDREW JAYCHIEF COMPLIANCE OFFICER1104658
TANIOS, FADYCEO4213894
YANNOTTI, ALEXANDER ANTHONYFINANCIAL OPERATIONS PRINCIPAL1333893

Disclosures

Regulatory Event1

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.

Company Information

LUCID CAPITAL MARKETS, LLC

CRD#: 140345

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