Anthony R. Stella
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 Richard Stella, who also goes by Anthony Stella, Tony Stella, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1970. Anthony had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, PC, Series 1, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2020 - April 28, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
March 26, 2020 - April 28, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
June 9, 2017 - November 18, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 9, 2017 - November 18, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2011 - June 12, 2017
MORGAN STANLEY
January 3, 2011 - June 12, 2017
MORGAN STANLEY
October 2, 2001 - January 6, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 29, 2001 - January 6, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 4, 1998 - June 26, 2001
PRUDENTIAL EQUITY GROUP, LLC
July 15, 1992 - February 11, 1998
UBS FINANCIAL SERVICES INC.
April 5, 1978 - July 9, 1992
MORGAN STANLEY DW INC.
January 18, 1978 - April 30, 1978
LOEB PARTNERS
September 8, 1976 - January 18, 1978
LOEB, RHOADES & CO. INC.
March 2, 1970 - November 19, 1976
DEAN WITTER & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationPC
Date: 2/13/1979
AMEX Put and Call ExamSeries 1
Date: 2/16/1970
Registered Representative ExaminationSeries 12
Date: 5/15/1982
NYSE Branch Manager ExaminationSeries 40
Date: 6/24/1974
Registered Principal ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
