AS
Anthony I. Saracco
COMMERZ MARKETS LLC
NEW YORK, NY 10281
Some features on this profile are disabled
CRD#: 5116904
AS
Professional summary
Anthony I Saracco, who also goes by Anthony Irving Saracco, is a registered financial professional currently at COMMERZ MARKETS LLC located in New York, New York.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 2007. Anthony has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 79 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Anthony Irving Saracco
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.
CRS (Client Relationship Summary) - BD
Click below to view Anthony I Saracco'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®
NoneExperience
Current
April 16, 2019 - Present
COMMERZ MARKETS LLC
Office #1: 225 Liberty Street, New York, NY 10281BD
CRD#: 41957
NEW YORK, NY
Past
April 19, 2017 - April 8, 2019
FREDERICKS MICHAEL SECURITIES, INC.
BD
CRD#: 46725
NEW YORK, NY
Past
June 12, 2008 - December 5, 2011
BNP PARIBAS SECURITIES CORP.
BD
CRD#: 15794
NEW YORK, NY
Past
April 4, 2007 - June 16, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(4/16/2019)
RR
Alaska(4/16/2019)
RR
Arizona(4/16/2019)
RR
Arkansas(4/16/2019)
RR
California(4/16/2019)
RR
Colorado(4/16/2019)
RR
Connecticut(4/16/2019)
RR
Delaware(4/16/2019)
RR
District of Columbia(4/16/2019)
RR
Florida(4/16/2019)
RR
Georgia(4/16/2019)
RR
Hawaii(4/16/2019)
RR
Idaho(4/16/2019)
RR
Illinois(4/16/2019)
RR
Indiana(4/16/2019)
RR
Iowa(4/16/2019)
RR
Kansas(4/16/2019)
RR
Kentucky(4/16/2019)
RR
Louisiana(4/16/2019)
RR
Maine(4/16/2019)
RR
Maryland(4/16/2019)
RR
Massachusetts(4/16/2019)
RR
Michigan(4/16/2019)
RR
Minnesota(4/16/2019)
RR
Mississippi(4/16/2019)
RR
Missouri(4/16/2019)
RR
Montana(4/16/2019)
RR
Nebraska(4/16/2019)
RR
Nevada(4/16/2019)
RR
New Hampshire(4/16/2019)
RR
New Jersey(4/16/2019)
RR
New Mexico(4/16/2019)
RR
New York(4/16/2019)
RR
North Carolina(4/16/2019)
RR
North Dakota(4/16/2019)
RR
Ohio(4/16/2019)
RR
Oklahoma(4/16/2019)
RR
Oregon(4/16/2019)
RR
Pennsylvania(4/16/2019)
RR
Puerto Rico(4/16/2019)
RR
Rhode Island(4/16/2019)
RR
South Carolina(4/16/2019)
RR
South Dakota(4/16/2019)
RR
Tennessee(4/28/2023)
RR
Texas(4/16/2019)
RR
Utah(4/16/2019)
RR
Vermont(4/16/2019)
RR
Virginia(4/16/2019)
RR
Washington(4/16/2019)
RR
West Virginia(4/16/2019)
RR
Wisconsin(4/16/2019)
RR
Wyoming(4/16/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CM
COMMERZ MARKETS LLC
COMMERZ MARKETS LLC | DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC | DRESDNER KLEINWORT SECURITIES LLC | DRESDNER KLEINWORT BENSON NORTH AMERICA LLC | COMMERZBANK
CRD#: 41957 / SEC#: , 8-49647
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
225 Liberty Street, New York, NY 10281
Mailing Address
225 Liberty Street, New York, NY 10281
Phone number
(212) 266-7200
Established
Delaware since 05/28/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERZBANK AG | SHAREHOLDER | |
| BARBELLA, JOSEPH | CHIEF COMPLIANCE OFFICER | 5058379 |
| DEFREN, JOHN CHARLES | CHIEF LEGAL OFFICER | 5917742 |
| GEREMIA, JOHN MICHAEL | PRESIDENT/MEMBER BOARD OF MANAGERS | 1794769 |
| HOLSTEN, ANDREAS FRITZ BRUNO | MEMBER BOARD OF MANAGERS | |
| HUBLEY, YOKO | CFO/FINOP | 4297053 |
| LI, SU-CHANG | PRINCIPAL OPERATIONS OFFICER/FINOP | 4990155 |
| LLOYD, KEITH ROSWELL | MEMBER BOARD OF MANAGERS | 2836268 |
| ROYAN, LEE-ANN | CHIEF OPERATING OFFICER | 4860551 |
| SOENNECKEN SCHMIDT, SILKE | MEMBER BOARD OF MANAGERS | |
| TONER, JOSEPH GREGORY | TREASURER | 4910635 |
Disclosures
| Regulatory Event | 9 |
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.
