Anthony J. Daiuto
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 John Daiuto, who also goes by Tony Daiuto, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1972. Anthony had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2007 - December 31, 2020
NATIONS FINANCIAL GROUP, INC.
November 1, 2005 - December 20, 2005
GUNNALLEN FINANCIAL, INC
September 7, 2001 - October 3, 2005
MIDSOUTH CAPITAL, INC.
January 9, 2000 - September 7, 2001
FIRST SECURITY INVESTMENTS, INC.
February 10, 1998 - October 30, 1998
FIRST SECURITY INVESTMENTS, INC.
September 11, 1995 - June 17, 1997
AEGIS CAPITAL CORP.
March 17, 1994 - August 21, 1995
TODD AND COMPANY, INC.
December 15, 1992 - April 29, 1993
THE STAMFORD COMPANY, INC.
October 6, 1992 - December 17, 1992
HAMPSHIRE SECURITIES CORPORATION
October 28, 1991 - September 22, 1992
JOSEPHTHAL & CO., INC.
March 13, 1986 - November 1, 1991
CROWN FINANCIAL GROUP, INC.
December 17, 1985 - March 24, 1986
GRAYSTONE NASH, INC.
February 18, 1976 - May 23, 1980
THOMSON MCKINNON SECURITIES INC.
September 18, 1972 - March 20, 1976
TODD AND COMPANY, INC.
Primary Firm SEC Registration
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
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: 9/14/1972
Registered Representative ExaminationCurrent Firm
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
Contact information
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
