Anthony E. Spagnolo
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 Edward Spagnolo III was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2004. Anthony had worked at 7 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
May 18, 2015 - April 19, 2016
PHX FINANCIAL, INC.
September 19, 2011 - May 19, 2015
JOSEPH GUNNAR & CO. LLC
May 26, 2010 - September 21, 2011
EKN FINANCIAL SERVICES INC.
April 29, 2010 - May 26, 2010
CUMBERLAND SECURITIES LLC
November 27, 2006 - May 4, 2010
ITRADEDIRECT.COM CORP
July 24, 2006 - November 14, 2006
NEWBRIDGE SECURITIES CORPORATION
June 20, 2005 - July 13, 2005
ITRADEDIRECT.COM CORP
April 5, 2004 - June 15, 2005
GUNNALLEN FINANCIAL, INC
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
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
