Anthony J. Ceraldi

Some features on this profile are disabled

CRD#: 5845480

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 J Ceraldi was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 2010. Anthony had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 10, 2017 - August 21, 2017

CLEARBRIDGE INVESTMENTS, LLC

RIA

CRD#: 137028

NEW YORK, NY

Past

March 9, 2017 - August 21, 2017

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

STAMFORD, CT

Past

August 19, 2014 - March 10, 2017

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BROOKLYN, NY

Past

April 26, 2013 - March 10, 2017

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BROOKLYN, NY

Past

November 3, 2010 - April 5, 2013

BNY MELLON SECURITIES CORPORATION

CRD#: 231

UNIONDALE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CLEARBRIDGE INVESTMENTS, LLC

CRD#: 137028 / SEC#: 801-64710

RIA

Registered Investment Advisory firm - (9/30/2005 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/18/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/2/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/21/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/2/2010

General Securities Representative Examination

Current Firm

CLEARBRIDGE INVESTMENTS, LLC

CRD#: 137028 / SEC#: 801-64710

RIA

Registered Investment Advisory firm - (9/30/2005 Approved)

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

One Madison Avenue 18th Floor, New York, NY 10010

Mailing Address

Phone number

(212) 805-2000

Established

Firm type

Fiscal year end

# of Employees

214

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLEARBRIDGE INVESTMENTS ADVISORY BROCHURE (12/17/2024)

CLEARBRIDGE/FTPPG RETAIL CLIENT BROCHURE (12/17/2024)

Regulatory assets under management

Total Number of Accounts	122,375
AUM (Assets Under Management)	$ 180,788,611,945

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/27/2025	Cover Page	Report
01/24/2025	Cover Page	Report
11/20/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Anthony J. Ceraldi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

BNY MELLON SECURITIES CORPORATION

Primary Firm SEC Registration

CLEARBRIDGE INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/18/2014

Series 63

Date: 12/2/2010

SIE

Date: 8/21/2017

Series 7

Date: 11/2/2010

Current Firm

CLEARBRIDGE INVESTMENTS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CLEARBRIDGE INVESTMENTS, LLC

TRUST BUT VERIFY

Similar Advisors