John Anagnos

AETOLIA CAPITAL LLC

Hockessin, DE

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CRD#: 4284386

Professional summary

John Anagnos is a registered financial advisor currently at AETOLIA CAPITAL LLC located in Hockessin, Delaware.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. John has worked at 6 firms and has passed the Series 66, SIE, Series 3, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view John Anagnos'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

July 14, 2017 - Present

AETOLIA CAPITAL LLC

RIA

CRD#: 288624

Hockessin, DE

Past

July 19, 2013 - July 17, 2017

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

PHILADELPHIA, PA

Past

July 19, 2013 - July 17, 2017

OPPENHEIMER & CO. INC.

CRD#: 249

PHILADELPHIA, PA

Past

June 1, 2009 - August 7, 2013

MORGAN STANLEY

RIA

CRD#: 149777

GREENVILLE, DE

Past

June 1, 2009 - August 7, 2013

MORGAN STANLEY

CRD#: 149777

GREENVILLE, DE

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

GREENVILLE, DE

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

GREENVILLE, DE

Past

April 10, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

WILMINGTON, DE

Past

April 3, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

WILMINGTON, DE

Past

January 3, 2003 - March 18, 2003

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

December 8, 2000 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Delaware
(7/14/2017)

IAR

Pennsylvania
(8/9/2017)

IAR

Texas
(4/17/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/18/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/14/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 8/23/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/7/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/27/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/7/2005

General Securities Sales Supervisor - Options Module Examination

Current Firm

AETOLIA CAPITAL LLC

CRD#: 288624 / SEC#:

Delaware

Registered Investment Advisory firm - (7/11/2017 Approved)

New Jersey

Registered Investment Advisory firm - (12/20/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/9/2017 Approved)

Texas

Registered Investment Advisory firm - (3/12/2021 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Hockessin, DE

Mailing Address

Phone number

(302) 543-4446

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	90
AUM (Assets Under Management)	$ 38,851,328

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.

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Firm Stability Insights

John Anagnos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Anagnos's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/18/2000

SIE

Date: 7/17/2017

Series 3

Date: 12/14/2010

Series 31

Date: 8/23/2002

Series 7

Date: 12/7/2000

Series 10

Date: 2/27/2007

Series 9

Date: 3/7/2005

Current Firm

AETOLIA CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AETOLIA CAPITAL LLC

TRUST BUT VERIFY

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