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AF

Anthony T. Fertitta

JONES LANG LASALLE SECURITIES
Charlotte, NC 28211
Some features on this profile are disabled
CRD#: 4407567
AF

Professional summary

Anthony Thomas Fertitta JR. is a registered financial professional currently at JONES LANG LASALLE SECURITIES, LLC located in Charlotte, North Carolina.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 2001. Anthony has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

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) - BD

Click below to view Anthony Thomas Fertitta JR.'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

June 30, 2021 - Present

JONES LANG LASALLE SECURITIES, LLC

Office #1: 4064 Colony Road Suite 400, Charlotte, NC 28211
BD
CRD#: 120738
Charlotte, NC
Past

August 4, 2017 - June 30, 2021

HFF SECURITIES L.P.

BD
CRD#: 131585
LOS ANGELES, CA
Past

November 1, 2010 - July 5, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHARLOTTE, NC
Past

May 9, 2007 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
CHARLOTTE, NC
Past

August 21, 2001 - September 13, 2005

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY

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
(6/30/2021)
RR
Alaska
(6/30/2021)
RR
Arizona
(6/30/2021)
RR
Arkansas
(6/30/2021)
RR
California
(6/30/2021)
RR
Connecticut
(6/30/2021)
RR
Delaware
(6/30/2021)
RR
Georgia
(6/30/2021)
RR
Indiana
(6/30/2021)
RR
Louisiana
(6/30/2021)
RR
Montana
(6/30/2021)
RR
Nevada
(6/30/2021)
RR
New Hampshire
(6/30/2021)
RR
New Mexico
(6/30/2021)
RR
New York
(7/1/2021)
RR
North Carolina
(6/30/2021)
RR
Ohio
(6/30/2021)
RR
Oregon
(6/30/2021)
RR
Pennsylvania
(6/30/2021)
RR
Rhode Island
(6/30/2021)
RR
Vermont
(6/30/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/8/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

JL
JONES LANG LASALLE SECURITIES, LLC
JLL SECURITIES | JONES LANG LASALLE SECURITIES, LLC

CRD#: 120738 / SEC#: , 8-65341

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

Main Address
200 East Randolph Drive 44th Floor, Chicago, IL 60601
Mailing Address
200 East Randolph Drive 44th Floor, Chicago, IL 60601
Phone number
(312) 404-7582
Established
Illinois since 04/23/2002
Firm type
Limited Liability Company
Fiscal year end
December
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#
JONES LANG LASALLE AMERICAS, INC.DIRECT OWNER
JOSEPH, MICHAEL SCOTTMANAGING PRINCIPAL / CHIEF OPERATIONS OFFICER4231268
CASHDAN, DANIEL MICHAELPRESIDENT AND GENERAL SECURITIES PRINCIPAL1910672
DORFMAN, ESTEE CARLAPRINCIPAL FINANCIAL OFFICER2696529
DORFMAN, ESTEE CARLAFINANCIAL OPERATIONS PRINCIPAL2696529
DOWNING, JAMES ROTHPRINCIPAL OPERATIONS OFFICER5514806
DOWNING, JAMES ROTHCHIEF COMPLIANCE OFFICER5514806

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

JONES LANG LASALLE SECURITIES, LLC

CRD#: 120738Charlotte, NC 28211

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