Anthony J. Depalma
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 Joseph Depalma was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1960. Anthony had worked at 13 firms and has passed the Series 63, SIE, PC, Series 5, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2014 - September 15, 2017
FINANCIAL AMERICA SECURITIES, INC.
March 2, 2009 - February 24, 2014
FINTEGRA, LLC
March 2, 2007 - March 2, 2009
SANDERS MORRIS LLC
April 25, 2001 - March 6, 2007
FERRIS, BAKER WATTS, LLC
May 29, 1997 - May 15, 2001
LADENBURG THALMANN & CO. INC.
April 28, 1997 - May 5, 1997
LADENBURG THALMANN & CO. INC.
July 11, 1996 - April 30, 1997
PRUDENTIAL EQUITY GROUP, LLC
September 4, 1990 - July 15, 1996
WELLS FARGO CLEARING SERVICES, LLC
February 23, 1987 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
October 2, 1984 - March 6, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 27, 1982 - October 17, 1984
MORGAN STANLEY DW INC.
August 18, 1980 - August 4, 1982
LEHMAN BROTHERS INC.
August 16, 1978 - September 6, 1980
E. F. HUTTON & COMPANY INC
April 22, 1960 - March 13, 1975
BACHE & CO INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 11/1/1984
AMEX Put and Call ExamSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 4/22/1960
Registered Representative ExaminationSeries 40
Date: 8/14/1978
Registered Principal ExaminationCurrent Firm
FINANCIAL AMERICA SECURITIES, INC.
CRD#: 5100 / SEC#: , 8-15719
Contact information
Documents
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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