AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DT

Dominic A. Tropiano

Some features on this profile are disabled
CRD#: 4761462
DT

Professional summary

Dominic Anthony Tropiano 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.

Dominic is a previously registered financial advisor and started their career in finance in 2004. Prior to being barred, Dominic had worked at 4 firms, which includes AMERICA NORTHCOAST SECURITIES INC., KEY INVESTMENT SERVICES LLC, NATCITY INVESTMENTS INC., KEYBANC CAPITAL MARKETS INC..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 9, 2016 - June 10, 2016

AMERICA NORTHCOAST SECURITIES, INC.

BD
CRD#: 16076
CLEVELAND, OH
Past

August 7, 2008 - April 22, 2015

KEY INVESTMENT SERVICES LLC

RIA
CRD#: 136300
CHAGRIN FALLS, OH
Past

August 6, 2008 - April 22, 2015

KEY INVESTMENT SERVICES LLC

BD
CRD#: 136300
CHAGRIN FALLS, OH
Past

April 10, 2006 - July 31, 2008

NATCITY INVESTMENTS, INC.

RIA
CRD#: 17490
CLEVELAND, OH
Past

April 10, 2006 - July 31, 2008

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
CLEVELAND, OH
Past

August 19, 2004 - December 5, 2005

KEYBANC CAPITAL MARKETS INC.

RIA
CRD#: 566
PEPPER PIKE, OH
Past

February 20, 2004 - December 5, 2005

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/17/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/10/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 10/15/2004
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/2004
General Securities Representative Examination

Current Firm

AN
AMERICA NORTHCOAST SECURITIES, INC.
AMERICA NORTHCOAST SECURITIES, INC. | NORTHCOAST SECURITIES, INC. | DALEY SECURITIES, INC. | B/D HOLDINGS, INC. | ANCORA SECURITIES, INC. | ANCORA SECURITIES, INC

CRD#: 16076 / SEC#: , 8-33033

BD
Terminated by SEC on 09/30/2017
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 10/18/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ARCH EAGLE, INC.SHAREHOLDER/PARENT COMPANY
BARONE, CHRISTOPHER RICHARDPRESIDENT, GENERAL PRINCIPAL, MUNICIPALS PRINCIPAL, CCO2032268
BARONE, RICHARD ANTHONYCHAIRMAN, SROP/CROP, CHIEF FINANCIAL OFFICER (CFO)13213

Disclosures

Regulatory Event3

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

AMERICA NORTHCOAST SECURITIES, INC.

CRD#: 16076

TRUST BUT VERIFY

Monitor Dominic Tropiano

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics