Anthony Vitanza
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 Vitanza was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1959. Anthony had worked at 5 firms and has passed the Series 5, PC, Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2006 - November 30, 2012
CADARET, GRANT & CO., INC.
March 8, 2002 - November 29, 2006
BOLTON GLOBAL CAPITAL
September 16, 1977 - March 14, 2002
PRUDENTIAL EQUITY GROUP, LLC
January 27, 1975 - September 16, 1977
SHIELDS MODEL ROLAND INCORPORATED
April 6, 1959 - January 27, 1975
SHIELDS & COMPANY 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 5
Date: 3/2/1982
Interest Rate Options ExaminationPC
Date: 5/31/1977
AMEX Put and Call ExamSeries 1
Date: 4/6/1959
Registered Representative ExaminationSeries 00
Date: 1/21/1975
General Securities Principal ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
