Anthony A. Compaglia

TULLY & HOLLAND

BOSTON, MA 02116

Some features on this profile are disabled

CRD#: 4995689

Professional summary

Anthony Albert Compaglia, who also goes by Anthony Albert Compaglia Mr., Anthony Compaglia, is a registered financial professional currently at TULLY & HOLLAND, INCORPORATED located in Boston, Massachusetts.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 2005. Anthony has 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

Are you a "fiduciary"?

Aliases

Anthony Albert Compaglia Mr. | Anthony Compaglia

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) - BD

Click below to view Anthony Albert Compaglia's CRS (Customer Relationship Summary).

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

Current

April 9, 2024 - Present

TULLY & HOLLAND, INCORPORATED

Office #1: 501 Boylston Street 10th Floor, Boston, MA 02116

CRD#: 30029

BOSTON, MA

Past

September 7, 2012 - August 7, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN FRANCISCO, CA

Past

September 7, 2012 - August 7, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN FRANCISCO, CA

Past

February 17, 2011 - September 27, 2012

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

SAN FRANCISCO, CA

Past

May 18, 2009 - September 27, 2012

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

SAN FRANCISCO, CA

Past

March 16, 2009 - May 15, 2009

SANCTUARY SECURITIES LLC

CRD#: 144091

SAN FRANCISCO, CA

Past

November 16, 2005 - February 25, 2008

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

SAN FRANCISCO, CA

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Massachusetts
(4/29/2024)

Exams

State Security Law Exam

Series 63

Date: 4/29/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/16/2011

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 79TO

Date: 4/9/2024

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 2/21/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 8/17/2006

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 7/5/2006

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 11/15/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TULLY & HOLLAND, INCORPORATED

TULLY & HOLLAND, INCORPORATED | ULIN & HOLLAND, INCORPORATED

CRD#: 30029 / SEC#: , 8-44691

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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

501 Boylston Street 10th Floor, Boston, MA 02116

Mailing Address

501 Boylston Street 10th Floor, Boston, MA 02116

Phone number

(781) 239-2900

Established

Massachusetts since 02/07/1992

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

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.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Martin Robbins

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Norwell, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Anthony A. Compaglia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anthony Albert Compaglia's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

SANCTUARY SECURITIES LLC

BANC OF AMERICA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/29/2024

Series 65

Date: 2/16/2011

Series 79TO

Date: 4/9/2024

SIE

Date: 2/21/2024

Series 86

Date: 8/17/2006

Series 87

Date: 7/5/2006

Series 7

Date: 11/15/2005

FINRA

Current Firm

TULLY & HOLLAND, INCORPORATED

Contact information

FINRA licenses (14 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TULLY & HOLLAND, INCORPORATED

TRUST BUT VERIFY

Similar Advisors