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AF

Anthony W. Faria

BTIG
New York, NY 10022
Some features on this profile are disabled
CRD#: 5951281
AF

Professional summary

Anthony William Faria, who also goes by Anthony Faria, is a registered financial professional currently at BTIG, LLC located in New York, New York.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 2011. Anthony has worked at 5 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anthony Faria

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) - BD

Click below to view Anthony William Faria's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 27, 2023 - Present

BTIG, LLC

Office #1: Park Avenue Tower 65 East 55th Street, New York, NY 10022
BD
CRD#: 122225
New York, NY
Past

January 4, 2021 - October 11, 2023

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

September 26, 2018 - January 29, 2021

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

July 26, 2013 - October 12, 2018

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
NEW YORK, NY
Past

November 15, 2011 - July 26, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
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
(11/27/2023)
RR
Alaska
(11/27/2023)
RR
Arizona
(11/27/2023)
RR
Arkansas
(11/27/2023)
RR
California
(11/27/2023)
RR
Colorado
(11/27/2023)
RR
Connecticut
(11/27/2023)
RR
Delaware
(11/27/2023)
RR
District of Columbia
(11/27/2023)
RR
Florida
(11/27/2023)
RR
Georgia
(11/27/2023)
RR
Hawaii
(11/27/2023)
RR
Idaho
(11/27/2023)
RR
Illinois
(11/27/2023)
RR
Indiana
(11/27/2023)
RR
Iowa
(11/27/2023)
RR
Kansas
(11/27/2023)
RR
Kentucky
(11/27/2023)
RR
Louisiana
(11/27/2023)
RR
Maine
(11/27/2023)
RR
Maryland
(11/27/2023)
RR
Massachusetts
(11/27/2023)
RR
Michigan
(11/27/2023)
RR
Minnesota
(11/27/2023)
RR
Mississippi
(11/27/2023)
RR
Missouri
(11/27/2023)
RR
Montana
(11/27/2023)
RR
Nebraska
(11/27/2023)
RR
Nevada
(11/27/2023)
RR
New Hampshire
(11/27/2023)
RR
New Jersey
(11/27/2023)
RR
New Mexico
(11/27/2023)
RR
New York
(11/27/2023)
RR
North Carolina
(11/27/2023)
RR
North Dakota
(11/27/2023)
RR
Ohio
(11/27/2023)
RR
Oklahoma
(11/27/2023)
RR
Oregon
(11/27/2023)
RR
Pennsylvania
(11/27/2023)
RR
Rhode Island
(11/27/2023)
RR
South Carolina
(11/27/2023)
RR
South Dakota
(11/27/2023)
RR
Texas
(11/27/2023)
RR
Utah
(11/27/2023)
RR
Vermont
(11/27/2023)
RR
Virgin Islands
(11/27/2023)
RR
Virginia
(11/27/2023)
RR
Washington
(11/27/2023)
RR
West Virginia
(11/27/2023)
RR
Wisconsin
(11/27/2023)
RR
Wyoming
(11/27/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/23/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/14/2011
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BL
BTIG, LLC
BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC

CRD#: 122225 / SEC#: , 8-65473

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Mailing Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Phone number
(415) 248-2200
Established
Delaware since 06/05/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CONDOR TRADING LPMANAGER/MEMBER
CZEPIEL, KYLE ROBERTCHIEF OPERATING OFFICER2360785
ENDRES, BRIAN KENNETHCFO/FINOP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER2673131
HAMILTON, AUSTINCHIEF COMPLIANCE OFFICER2592315
LEROY, ANTON MAURICECHIEF EXECUTIVE OFFICER2862204

Disclosures

Regulatory Event11
Civil Event1

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.

Company Information

BTIG, LLC

CRD#: 122225New York, NY 10022

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