AS
Anthony D. Stevens
H.C.WAINWRIGHT & CO.
New York, NY 10022
Some features on this profile are disabled
CRD#: 7517507
AS
Professional summary
Anthony Dakota Stevens, who also goes by Anthony Dahota Stevens, is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 2022. Anthony has worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Anthony Dahota Stevens
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Anthony Dakota Stevens'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
April 18, 2022 - Present
H.C.WAINWRIGHT & CO., LLC
Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022BD
CRD#: 375
New York, NY
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
Alaska(9/26/2022)
RR
Arizona(9/29/2022)
RR
Arkansas(9/20/2022)
RR
California(9/16/2022)
RR
Colorado(9/19/2022)
RR
Connecticut(9/16/2022)
RR
Delaware(9/20/2022)
RR
District of Columbia(9/22/2022)
RR
Florida(9/19/2022)
RR
Georgia(9/19/2022)
RR
Hawaii(9/21/2022)
RR
Idaho(9/16/2022)
RR
Illinois(9/29/2022)
RR
Indiana(9/16/2022)
RR
Iowa(9/20/2022)
RR
Kansas(9/19/2022)
RR
Kentucky(9/20/2022)
RR
Louisiana(9/20/2022)
RR
Maine(9/16/2022)
RR
Maryland(9/20/2022)
RR
Massachusetts(9/19/2022)
RR
Michigan(9/20/2022)
RR
Minnesota(9/16/2022)
RR
Mississippi(9/20/2022)
RR
Missouri(9/19/2022)
RR
Montana(9/16/2022)
RR
Nebraska(9/16/2022)
RR
Nevada(9/28/2022)
RR
New Hampshire(9/28/2022)
RR
New Jersey(9/20/2022)
RR
New Mexico(9/19/2022)
RR
New York(6/13/2022)
RR
North Carolina(9/19/2022)
RR
North Dakota(9/19/2022)
RR
Ohio(9/16/2022)
RR
Oklahoma(9/19/2022)
RR
Oregon(9/20/2022)
RR
Pennsylvania(9/19/2022)
RR
Puerto Rico(9/27/2022)
RR
Rhode Island(9/23/2022)
RR
South Carolina(9/21/2022)
RR
South Dakota(9/19/2022)
RR
Tennessee(9/19/2022)
RR
Texas(9/19/2022)
RR
Utah(9/16/2022)
RR
Vermont(9/16/2022)
RR
Virgin Islands(9/27/2022)
RR
Virginia(9/19/2022)
RR
Washington(9/16/2022)
RR
West Virginia(9/19/2022)
RR
Wisconsin(9/20/2022)
RR
Wyoming(9/20/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 11/1/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 4/17/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
H.C.WAINWRIGHT & CO., LLC
H. C. WAINWRIGHT & CO. | WAINWRIGHT H C & CO INC | RODMAN & RENSHAW | H.C.WAINWRIGHT & CO., LLC | H.C. WAINWRIGHT & CO., INC. | H.C WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
430 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 356-0500
Established
Delaware since 04/10/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
