Anthony L. Cortellessa
Professional summary
Anthony Louis Cortellessa was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Anthony is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, Anthony had worked at 4 firms, which includes CADARET GRANT & CO. INC., AMERICAN GENERAL EQUITY SERVICES CORPORATION, INDEPENDENT FINANCIAL PLANNERS CORPORATION, LION INVESTORS.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 1982 - September 29, 2005
CADARET, GRANT & CO., INC.
June 6, 1974 - December 22, 1992
AMERICAN GENERAL EQUITY SERVICES CORPORATION
February 10, 1972 - December 8, 1982
INDEPENDENT FINANCIAL PLANNERS CORPORATION
July 30, 1969 - July 31, 1973
LION INVESTORS
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 1
Date: 9/20/1962
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
