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AH

Anita L. Hariton

COMMONFUND SECURITIES
NORWALK, CT 06851
Some features on this profile are disabled
CRD#: 4104946
AH

Professional summary

Anita Lynne Hariton, who also goes by Anita Lynne Montz, is a registered financial professional currently at COMMONFUND SECURITIES, INC. located in Norwalk, Connecticut.

Anita is registered as a RR (Registered Representative) and started their career in finance in 2000. Anita has worked at 1 firm and has passed the Series 63, Series 99TO, Series 31, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anita Lynne Montz

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 Anita Lynne Hariton's CRS (Customer Relationship Summary).
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

February 21, 2000 - Present

COMMONFUND SECURITIES, INC.

Office #1: 601 Merritt 7, Norwalk, CT 06851
BD
CRD#: 43541
NORWALK, CT

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(7/23/2009)
RR
Alaska
(7/23/2009)
RR
Arizona
(7/23/2009)
RR
Arkansas
(11/8/2006)
RR
California
(3/20/2000)
RR
Colorado
(7/23/2009)
RR
Connecticut
(10/16/2007)
RR
Delaware
(7/23/2009)
RR
District of Columbia
(7/23/2009)
RR
Florida
(7/23/2009)
RR
Georgia
(7/23/2009)
RR
Hawaii
(7/23/2009)
RR
Idaho
(7/23/2009)
RR
Illinois
(3/5/2003)
RR
Indiana
(3/5/2003)
RR
Iowa
(3/5/2003)
RR
Kansas
(3/5/2003)
RR
Kentucky
(7/23/2009)
RR
Louisiana
(11/8/2006)
RR
Maine
(7/23/2009)
RR
Maryland
(7/23/2009)
RR
Massachusetts
(7/23/2009)
RR
Michigan
(3/5/2003)
RR
Minnesota
(3/5/2003)
RR
Mississippi
(7/23/2009)
RR
Missouri
(3/5/2003)
RR
Montana
(7/23/2009)
RR
Nebraska
(11/8/2006)
RR
Nevada
(7/23/2009)
RR
New Hampshire
(7/23/2009)
RR
New Jersey
(7/23/2009)
RR
New Mexico
(7/23/2009)
RR
New York
(7/23/2009)
RR
North Carolina
(7/23/2009)
RR
North Dakota
(7/23/2009)
RR
Ohio
(3/5/2003)
RR
Oklahoma
(3/5/2003)
RR
Oregon
(7/23/2009)
RR
Pennsylvania
(4/16/2007)
RR
Puerto Rico
(7/23/2009)
RR
Rhode Island
(7/23/2009)
RR
South Carolina
(7/23/2009)
RR
South Dakota
(7/23/2009)
RR
Tennessee
(7/23/2009)
RR
Texas
(3/5/2003)
RR
Utah
(7/23/2009)
RR
Vermont
(7/23/2009)
RR
Virgin Islands
(7/23/2009)
RR
Virginia
(7/23/2009)
RR
Washington
(7/23/2009)
RR
West Virginia
(7/23/2009)
RR
Wisconsin
(3/5/2003)
RR
Wyoming
(7/23/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 2/25/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/17/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 31
Date: 12/15/2022
Futures Managed Funds Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/17/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/1/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
COMMONFUND SECURITIES, INC.
COMMONFUND SECURITIES, INC. | ENDOWMENT SERVICES, INC.

CRD#: 43541 / SEC#: , 8-50337

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

Main Address
601 Merritt 7, Norwalk, CT 06851
Mailing Address
601 Merritt 7, Norwalk, CT 06851
Phone number
(203) 563-5000
Established
Delaware since 05/30/1997
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
COMMONFUND HOLDING COMPANY, INC.SHAREHOLDER
BARD, NANCY KIERNANMANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS1324063
CERASUOLO, VIOLETTACHIEF COMPLIANCE OFFICER5362546
DURRELL, SUSAN KERRMANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS2945336
HARITON, ANITA LYNNEPRESIDENT AND CHIEF EXECUTIVE OFFICER; CHAIR, BOARD OF DIRECTORS4104946
SPONGBERG, JONATHAN DTREASURER5521666

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

COMMONFUND SECURITIES, INC.

CRD#: 43541Norwalk, CT 06851

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