Anthony R. Morgenthau
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 Reginald Morgenthau was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1970. Anthony had worked at 5 firms and has passed the Series 63, Series 1, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 1978 - December 31, 1984
MARSAN SECURITIES CO., INC.
November 16, 1973 - December 1, 2008
MORGENTHAU & ASSOCIATES, INC.
August 8, 1973 - November 15, 1973
CHESTMAN SECURITIES CO., INC.
July 2, 1973 - September 7, 1973
DUPONT WALSTON, INCORPORATED
July 24, 1970 - April 23, 1976
DUPONT GLORE FORGAN INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 5/14/1969
Registered Representative ExaminationF04
Date: 10/23/1973
Financial Principal ExaminationSeries 00
Date: 9/18/1973
General Securities Principal ExaminationCurrent Firm
MARSAN SECURITIES CO., INC.
CRD#: 7716 / SEC#: , 8-23168
Contact information
Documents
Red Flags
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