Anthony V. Derosa
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 Vincent Derosa, who also goes by Anthony V. Derosa, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2004. Anthony had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2016 - April 4, 2017
INVEST FINANCIAL CORPORATION
April 26, 2016 - April 4, 2017
INVEST FINANCIAL CORPORATION
January 17, 2013 - April 28, 2014
SANTANDER SECURITIES LLC
January 17, 2013 - April 28, 2014
SANTANDER SECURITIES LLC
May 14, 2012 - January 8, 2013
PARK AVENUE SECURITIES LLC
February 28, 2012 - January 8, 2013
PARK AVENUE SECURITIES LLC
June 1, 2007 - December 14, 2011
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - December 14, 2011
CITIGROUP GLOBAL MARKETS INC.
January 1, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 4, 2006 - April 19, 2006
METROPOLITAN LIFE INSURANCE COMPANY
April 4, 2006 - April 19, 2006
MSI FINANCIAL SERVICES, INC.
October 13, 2005 - March 16, 2006
HSBC SECURITIES (USA) INC.
August 5, 2004 - October 11, 2004
CARLTON CAPITAL 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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 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.
