Anthony James Rinaldi
Professional Summary
Anthony James Rinaldi is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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.
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Years of Experience
45 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
Contact Information
Main Address
400 West Metro Park, Rochester, NY 14623Mailing Address
400 West Metro Park, Rochester, NY 14623Phone Number
(585) 424-5672Established
New York since 04/04/1983Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
78SEC notice filing (46 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
Documents
Part 2 Brochures
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
1,053AUM (Assets Under Management)
$424,939,705Disclosures
Regulatory Event
2Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
State Registrations and Notice Filings
(10/12/2018)
(10/12/2018)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Oct 1989About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 1981About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed May 1986About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Anthony James Rinaldi's CRS (Customer Relationship Summary).
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