Silas R. Anthony
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.
Silas Reed Anthony JR was a registered financial professional .
Silas is a previously registered financial professional and started their career in finance in 1965. Silas had worked at 11 firms and has passed the SIE, Series 000 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
October 13, 2015 - December 31, 2020
LADENBURG THALMANN & CO. INC.
August 26, 2013 - October 19, 2015
GILFORD SECURITIES INCORPORATED
October 31, 2005 - August 27, 2013
BREAN CAPITAL, LLC
April 9, 1985 - November 3, 2005
BREAN MURRAY & CO., INC.
December 22, 1980 - May 1, 1985
E. F. HUTTON & COMPANY INC
May 30, 1980 - January 31, 1981
BLYTH EASTMAN PAINE WEBBER INCORPORATED
January 31, 1980 - January 31, 1981
UBS FINANCIAL SERVICES INC.
November 8, 1974 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
September 10, 1973 - December 2, 1974
G. H. WALKER, LAIRD INCORPORATED
February 23, 1972 - August 29, 1974
LAIRD INCORPORATED
December 20, 1965 - June 30, 1972
CITIGROUP GLOBAL MARKETS INC.
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 000
Date: 12/17/1965
General Securities Principal ExaminationSeries 1
Date: 12/17/1965
Registered Representative ExaminationCurrent Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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