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Anthony M. Cottone

Some features on this profile are disabled
CRD#: 4394861
AC

Professional summary

Anthony Matthew Cottone was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Anthony is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Anthony had worked at 10 firms, which includes LANDOLT SECURITIES INC., FINANCIAL WEST GROUP, MONTICELLO INVESTMENT SERVICES INC., MIDAMERICA FINANCIAL SERVICES INC., EQUITABLE ADVISORS LLC, NEWBRIDGE SECURITIES CORPORATION, INDEPENDENT SECURITIES INVESTORS CORPORATION, GUNNALLEN FINANCIAL INC, MORGAN STANLEY DW INC., UBS FINANCIAL SERVICES INC..

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

November 22, 2016 - January 5, 2017

LANDOLT SECURITIES, INC.

BD
CRD#: 28352
Boca Raton, FL
Past

August 21, 2014 - November 18, 2016

FINANCIAL WEST GROUP

RIA
CRD#: 16668
BOCA RATON, FL
Past

August 19, 2014 - November 18, 2016

FINANCIAL WEST GROUP

BD
CRD#: 16668
BOCA RATON, FL
Past

April 9, 2013 - August 20, 2014

MONTICELLO INVESTMENT SERVICES, INC.

RIA
CRD#: 140851
BOYNTON BEACH, FL
Past

May 24, 2012 - August 20, 2014

MIDAMERICA FINANCIAL SERVICES, INC.

BD
CRD#: 47351
BOCA RATON, FL
Past

January 5, 2009 - March 1, 2010

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
BOCA RATON, FL
Past

April 18, 2006 - December 31, 2008

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
DELRAY BEACH, FL
Past

January 7, 2005 - February 14, 2006

INDEPENDENT SECURITIES INVESTORS CORPORATION

BD
CRD#: 43598
CHIPLEY, FL
Past

August 18, 2004 - December 16, 2004

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

January 31, 2003 - August 3, 2004

INDEPENDENT SECURITIES INVESTORS CORPORATION

BD
CRD#: 43598
CHIPLEY, FL
Past

October 7, 2002 - December 20, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

May 24, 2001 - October 10, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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: 9/3/2013
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 6/1/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/5/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/23/2001
General Securities Representative Examination

Current Firm

LS
LANDOLT SECURITIES, INC.
FISN | TORII ASSET MANAGEMENT | TK CHEN FINANCIAL SERVICES LLC | THE WEALTH PROTECTION GROUP LLC | THE WEALTH PROTECTION GROUP | LESLIE FINANCIAL LLC | LANDOLT SECURITIES, INC.

CRD#: 28352 / SEC#: , 8-43645

Illinois
Registered Investment Advisory firm - SEC (10/10/2006 Approved)
Indiana
Registered Investment Advisory firm - SEC (3/23/2020 Approved)
North Carolina
Registered Investment Advisory firm - SEC (8/16/2017 Approved)
Ohio
Registered Investment Advisory firm - SEC (7/6/2017 Approved)
Texas
Registered Investment Advisory firm - SEC (4/28/2020 Approved)
Wisconsin
Registered Investment Advisory firm - SEC (3/26/2002 Approved)
Wyoming
Registered Investment Advisory firm - SEC (7/25/2017 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
900 North Shore Drive Suite 279, Lake Bluff, IL 60044
Mailing Address
900 North Shore Drive Suite 279, Lake Bluff, IL 60044
Phone number
(847) 838-5151
Established
Wisconsin since 11/09/1989
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
11

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)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
MCKIERNAN, DONALD TRENDLEYCEO, CO-CCO, & FINOP1305965
MCKIERNAN, MATTHEWCHIEF FINANCIAL OFFICER7006128
REINHARD, TYLER JOHNCOO / CO-CCO6366204

Regulatory assets under management

Total Number of Accounts279
AUM (Assets Under Management)$ 105,626,273

Disclosures

Regulatory Event4

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

LANDOLT SECURITIES, INC.

CRD#: 28352

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