Anthony J. Taddey
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 Taddey, who also goes by Anthony Joseph Taddey, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1987. Anthony had worked at 5 firms and has passed the Series 63, Series 7, Series 52, Series 24, Series 53 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
October 19, 2009 - December 4, 2012
LANCASTER POLLARD & CO., LLC
August 24, 2006 - June 25, 2009
RBC CAPITAL MARKETS, LLC
October 1, 1998 - March 22, 2000
BANC OF AMERICA SECURITIES LLC
January 17, 1994 - October 1, 1998
BANCAMERICA SECURITIES, INC.
June 8, 1987 - January 12, 1993
MORGAN STANLEY & CO. LLC
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 40
Date: 12/8/1976
Registered Principal ExaminationCurrent Firm
LANCASTER POLLARD & CO., LLC
CRD#: 24110 / SEC#: , 8-40905
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LANCASTER POLLARD HOLDINGS, LLC | MEMBER (09/2013) | |
| GESUE, NICHOLAS MASSEY | MANAGER (07/2017) AND CHIEF EXECUTIVE OFFICER | 4463110 |
| KIRKWOOD, ROBERT THOMAS | MANAGER (07/2017) AND CHIEF FINANCIAL OFFICER & CHIEF OPERATIONS OFFICER (03/2014) | 6025468 |
| MAINELLI, KEVIN JOSEPH | CHIEF COMPLIANCE OFFICER | 1751991 |
| MATT, KASSEM K. | MANAGER (07/2017) AND PRESIDENT (07/2015) | 5115995 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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