Anthony M. Cottone
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..
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2016 - January 5, 2017
LANDOLT SECURITIES, INC.
August 21, 2014 - November 18, 2016
FINANCIAL WEST GROUP
August 19, 2014 - November 18, 2016
FINANCIAL WEST GROUP
April 9, 2013 - August 20, 2014
MONTICELLO INVESTMENT SERVICES, INC.
May 24, 2012 - August 20, 2014
MIDAMERICA FINANCIAL SERVICES, INC.
January 5, 2009 - March 1, 2010
EQUITABLE ADVISORS, LLC
April 18, 2006 - December 31, 2008
NEWBRIDGE SECURITIES CORPORATION
January 7, 2005 - February 14, 2006
INDEPENDENT SECURITIES INVESTORS CORPORATION
August 18, 2004 - December 16, 2004
GUNNALLEN FINANCIAL, INC
January 31, 2003 - August 3, 2004
INDEPENDENT SECURITIES INVESTORS CORPORATION
October 7, 2002 - December 20, 2002
MORGAN STANLEY DW INC.
May 24, 2001 - October 10, 2002
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
LANDOLT SECURITIES, INC.
CRD#: 28352 / SEC#: 801-135200, 8-43645
State Registrations and Notice Filings
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Exams
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Current Firm
LANDOLT SECURITIES, INC.
CRD#: 28352 / SEC#: 801-135200, 8-43645
Contact information
SEC notice filing (14 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 301 |
| AUM (Assets Under Management) | $ 137,829,035 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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