Anthony A. Compaglia
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 Albert Compaglia, who also goes by Anthony Albert Compaglia Mr., Anthony Compaglia, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2005. Anthony had worked at 5 firms and has passed the Series 63, Series 65, Series 79TO, SIE, Series 86, Series 87 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
April 9, 2024 - March 29, 2026
TULLY & HOLLAND, INCORPORATED
September 7, 2012 - August 7, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 7, 2012 - August 7, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 2011 - September 27, 2012
CREDIT SUISSE SECURITIES (USA) LLC
May 18, 2009 - September 27, 2012
CREDIT SUISSE SECURITIES (USA) LLC
March 16, 2009 - May 15, 2009
SANCTUARY SECURITIES LLC
November 16, 2005 - February 25, 2008
BANC OF AMERICA SECURITIES LLC
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 79TO
Date: 4/9/2024
Investment Banking Registered Representative ExaminationCurrent Firm
TULLY & HOLLAND, INCORPORATED
CRD#: 30029 / SEC#: , 8-44691
Contact information
FINRA licenses (14 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TULLY, TIMOTHY WILLIAM | PRESIDENT, CHIEF COMPLIANCE OFFICER AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2779617 |
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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