AR
Anthony J. Rinaldi
LIFEMARK SECURITIES
Glendale, CA 91201
Some features on this profile are disabled
CRD#: 733115
AR
Professional summary
Anthony James Rinaldi is a registered financial professional currently at LIFEMARK SECURITIES CORP. located in Glendale, California.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 1981. Anthony has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
1) RINALDI & ASSOCIATES - ATTORNEY; NOT INVST RELATED;440 WESTERN AVE # 205 GLENDALE CA, 91201, 35 HOURS PER WEEK;STARTED 1997
2) Independent Insurance Agent;NON-INVST RELATED;440 WESTERN AVE # 205 GLENDALE; LIFE INS;10 HOURS PER WEEK; STARED;1981, sales & service of life, health and annuities,
3)NOTARY PUBLIC;NON-INVST RELATED;440 WESTERN AVE # 205 GLENDALE; NOTARIZE DOCUMENTS;1 HOUR PER WEEK;STARTED 1981
4) ASBETISSC/REAL ESTATE; NON-INVST RELATED;440 WESTERN AVE # 205 GLENDALE ; REAL ESTATE SALES; STARTED 1999
CRS (Client Relationship Summary) - BD
Click below to view Anthony James Rinaldi's 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®
NoneExperience
Current
October 12, 2018 - Present
LIFEMARK SECURITIES CORP.
Office #1: 440 Western Ave., Suite #205, Glendale, CA 91201RIA
BD
CRD#: 16204
Glendale, CA
Past
October 15, 2018 - January 16, 2024
LIFEMARK SECURITIES CORP.
RIA
CRD#: 16204
Glendale, CA
Past
December 13, 2016 - October 15, 2018
FORESTERS EQUITY SERVICES, INC.
RIA
CRD#: 18464
GLENDALE, CA
Past
March 17, 2011 - October 15, 2018
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
May 7, 2010 - February 11, 2011
QA3 FINANCIAL CORP.
BD
CRD#: 14754
TARZANA, CA
Past
October 20, 1999 - September 22, 2009
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
CALABASAS, CA
Past
July 20, 1995 - October 15, 1999
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
June 15, 1981 - July 26, 1995
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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
Arizona(10/12/2018)
RR
California(10/12/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
