Charles P. Anthony
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.
Charles P Anthony, who also goes by Charles Anthony, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2006. Charles had worked at 4 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2014 - August 1, 2022
NEWFLEET ASSET MANAGEMENT, LLC
May 23, 2014 - June 6, 2022
VP DISTRIBUTORS LLC
March 15, 2007 - February 19, 2014
MML INVESTORS SERVICES, LLC
August 24, 2006 - January 17, 2007
MORGAN STANLEY DW INC.
July 21, 2006 - January 17, 2007
MORGAN STANLEY DW 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
NEWFLEET ASSET MANAGEMENT, LLC
CRD#: 104532 / SEC#: 801-51559
Contact information
Regulatory assets under management
| Total Number of Accounts | 26 |
| AUM (Assets Under Management) | $ 10,141,089,500 |
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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