Anthony M. La Ferrara
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 Mark La Ferrara, who also goes by Anthony Mark Laferrara, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2007. Anthony had worked at 2 firms and has passed the Series 66, SIE 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 24, 2009 - June 15, 2015
GAIN SECURITIES
January 19, 2007 - May 21, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
January 1, 2007 - May 21, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
GAIN SECURITIES
CRD#: 16203 / SEC#: , 8-33541
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
