Anthony C. Purpero

HARBOR HILLS FINANCIAL ADVISORS

Montecito, CA 93111

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CRD#: 856680

Professional summary

Anthony Carl Purpero, who also goes by Tony Purpero, is a registered financial advisor currently at HARBOR HILLS FINANCIAL ADVISORS located in Montecito, California.

Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Anthony has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tony Purpero

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Carl Purpero's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 23, 2021 - Present

HARBOR HILLS FINANCIAL ADVISORS

Office #1: 1485 East Valley Road Suite 2, Montecito, CA 93111

RIA

CRD#: 312691

Montecito, CA

Past

October 26, 2020 - May 5, 2021

CREATIVEONE WEALTH, LLC

RIA

CRD#: 281213

Santa Barbara, CA

Past

July 31, 2009 - January 4, 2019

SORRENTO PACIFIC FINANCIAL, LLC

CRD#: 127787

SANTA BARBARA, CA

Past

January 31, 2005 - November 5, 2020

PARTNERVEST ADVISORY SERVICES LLC

RIA

CRD#: 113621

SANTA BARBARA, CA

Past

January 28, 2005 - July 31, 2009

PARTNERVEST SECURITIES, INC.

CRD#: 104134

SANTA BARBARA, CA

Past

December 5, 2002 - February 15, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

MONTECITO, CA

Past

July 31, 1993 - February 15, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 17, 1982 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 1, 1978 - October 25, 1982

FOSTER & MARSHALL INC.

CRD#: 321

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".

HARBOR HILLS FINANCIAL ADVISORS

HARBOR HILLS FINANCIAL ADVISORS | HARBOR HILLS, INC.

CRD#: 312691 / SEC#: 801-132064

RIA

Registered Investment Advisory firm - (3/4/2025 Approved)

California

Registered Investment Advisory firm - (5/14/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(6/23/2021)

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

State Security Law Exam

IAR

Series 65

Date: 9/25/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/9/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/19/1978

General Securities Representative Examination

Current Firm

HARBOR HILLS FINANCIAL ADVISORS

HARBOR HILLS FINANCIAL ADVISORS | HARBOR HILLS, INC.

CRD#: 312691 / SEC#: 801-132064

RIA

Registered Investment Advisory firm - (3/4/2025 Approved)

California

Registered Investment Advisory firm - (5/14/2025 Terminated)

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Contact information

Main Address

1485 East Valley Road Suite 2, Montecito, CA 93111

Mailing Address

Phone number

(805) 698-8172

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- HARBOR HILLS INC. (4/14/2025)

Regulatory assets under management

Total Number of Accounts	232
AUM (Assets Under Management)	$ 116,000,000

Red Flags

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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Advisor Monitoring

Firm Stability Insights

Anthony C. Purpero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Carl Purpero's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREATIVEONE WEALTH, LLC

SORRENTO PACIFIC FINANCIAL, LLC

PARTNERVEST ADVISORY SERVICES LLC

PARTNERVEST SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

FOSTER & MARSHALL INC.

Primary Firm SEC Registration

HARBOR HILLS FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/1992

Series 63

Date: 11/9/1983

SIE

Date: 10/1/2018

Series 7

Date: 8/19/1978

Current Firm

HARBOR HILLS FINANCIAL ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARBOR HILLS FINANCIAL ADVISORS

TRUST BUT VERIFY

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