Anthony P. Abruzzo
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 Paul Abruzzo, who also goes by Anthony Paul Abruzzo, Anthony Abruzzo, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2002. Anthony had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2015 - March 2, 2016
CAPITAL ONE INVESTING, LLC
November 21, 2014 - December 1, 2014
TD PRIME SERVICES LLC
September 23, 2014 - March 20, 2015
CETERA ADVISORS LLC
October 14, 2013 - August 19, 2014
NEW ENGLAND SECURITIES
May 2, 2012 - October 11, 2013
EQUITABLE ADVISORS, LLC
October 20, 2011 - December 6, 2011
MF GLOBAL INC.
January 25, 2011 - October 6, 2011
CANTOR FITZGERALD & CO.
April 6, 2009 - January 20, 2011
NEWEDGE USA, LLC
June 11, 2008 - April 7, 2009
TAFFERER TRADING, LLC
June 4, 2008 - June 18, 2008
EQUITABLE ADVISORS, LLC
May 17, 2002 - March 7, 2008
KV EXECUTION SERVICES LLC
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
Current Firm
CAPITAL ONE INVESTING, LLC
CRD#: 45744 / SEC#: , 8-51160
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL INVESTING, LLC | PARENT COMPANY & MEMBER | |
| BARBANO, LYNLEY ESTELLE | PRINCIPAL OPERATIONS OFFICER | 2239052 |
| COMO, MONALISA RAASS | PRESIDENT & CHIEF OPERATING OFFICER | 2536504 |
| CONSTANTINO, KRISTEN DANIELLE | CHIEF COMPLIANCE OFFICER | 3001473 |
| MARTIN, ALEX MICHAEL | FINANCIAL & OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 5639666 |
Disclosures
| Regulatory Event | 3 |
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.
