Anthony Politi
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 Politi, who also goes by Anthony Alex Politi, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2005. Anthony had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7TO 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
November 23, 2020 - February 25, 2022
SIDOTI & COMPANY, LLC
October 14, 2014 - May 3, 2016
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
November 1, 2013 - October 3, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
October 9, 2013 - October 3, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
July 31, 2012 - March 11, 2013
WALLACHBETH CAPITAL LLC
February 23, 2012 - June 7, 2012
AURIGA USA, LLC
March 9, 2006 - February 17, 2012
SIDOTI & COMPANY, LLC
March 11, 2005 - July 18, 2005
HENNION & WALSH, 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
Series 7TO
Date: 10/8/2020
General Securities Representative ExaminationCurrent Firm
SIDOTI & COMPANY, LLC
CRD#: 102860 / SEC#: , 8-52141
Contact information
FINRA licenses (40 States and Territories)
Documents
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.
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