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Anthony M. Farinha

Some features on this profile are disabled
CRD#: 4029423
AF

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 M Farinha was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 2004. Anthony had worked at 6 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

August 17, 2009 - January 4, 2012

NEW CENTURY CAPITAL PARTNERS, INC.

BD
CRD#: 147071
SANTA MONICA, CA
Past

April 24, 2006 - November 11, 2008

COWEN AND COMPANY

BD
CRD#: 7616
SAN FRANCISCO, CA
Past

March 31, 2005 - April 10, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 15, 2004 - April 12, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 8, 2004 - January 22, 2004

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT
Past

January 8, 2004 - February 24, 2004

CONSOR ADVISORS LLC

BD
CRD#: 128094
SAUSALITO, CA

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: 4/20/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/7/2004
General Securities Representative Examination

Current Firm

NC
NEW CENTURY CAPITAL PARTNERS, INC.
NEW CENTURY CAPITAL PARTNERS, INC. | NEW CENTURY CAPITAL PARTNERS, LLC

CRD#: 147071 / SEC#: , 8-67873

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
1707 Glendon Avenue Suite 3, Los Angeles, CA 90024
Mailing Address
1112 Montana Avenue Ste 465, Santa Monica, CA 90403
Phone number
(424) 877-0680
Established
California since 12/29/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SALTER, MARK JACKCEO/PRESIDENT/MANAGING MEMBER/CCO2250841
GEORGE, KENNETH RONALDFINOP2643369

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

NEW CENTURY CAPITAL PARTNERS, INC.

CRD#: 147071

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