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AS

Anthony M. Sanfilippo

ETICO PARTNERS
Saratoga Springs, NY 12866
Some features on this profile are disabled
CRD#: 865272
AS

Professional summary

Anthony Mark Sanfilippo is a registered financial professional currently at ETICO PARTNERS, LLC located in Saratoga Springs, New York.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 1979. Anthony has worked at 16 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24, Series 4 and Series 8 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anthony Mark Sanfilippo'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

August 25, 2020 - Present

ETICO PARTNERS, LLC

Office #1: 19 Railroad Pl, Ste 202, Saratoga Springs, NY 12866
BD
CRD#: 122481
Saratoga Springs, NY
Past

May 22, 2017 - July 16, 2018

DASH PRIME LLC

BD
CRD#: 41257
CHICAGO, IL
Past

September 15, 2014 - July 29, 2015

THE VERTICAL GROUP

BD
CRD#: 104353
RED BANK, NJ
Past

May 6, 2011 - July 31, 2012

RODMAN & RENSHAW, LLC

BD
CRD#: 16415
JERSEY CITY, NJ
Past

October 12, 2009 - May 27, 2011

HUDSON SECURITIES,INC.

BD
CRD#: 10467
JERSEY CITY, NJ
Past

April 21, 2008 - October 12, 2009

NEXT GENERATION EQUITY RESEARCH LLC

BD
CRD#: 130754
CHICAGO, IL
Past

October 19, 2005 - February 24, 2006

JEFFERIES EXECUTION SERVICES, INC.

BD
CRD#: 867
NEW YORK, NY
Past

February 10, 2004 - February 24, 2006

JEFFERIES LLC

BD
CRD#: 2347
STAMFORD, CT
Past

October 24, 1997 - August 29, 2003

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

October 15, 1997 - September 3, 2003

KNIGHT CAPITAL MARKETS LLC

BD
CRD#: 38379
PURCHASE, NY
Past

January 12, 1994 - December 1, 1997

TRADETECH SECURITIES L.P.

BD
CRD#: 31131
CHICAGO, IL
Past

August 1, 1989 - November 17, 1993

MESIROW FINANCIAL, INC.

BD
CRD#: 2764
CHICAGO, IL
Past

April 15, 1989 - August 1, 1989

MESIROW CAPITAL, INC.

BD
CRD#: 21829
Past

November 10, 1987 - April 6, 1989

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

BD
CRD#: 76
Past

April 30, 1986 - November 18, 1987

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
Past

May 12, 1980 - May 13, 1986

JEFFERIES LLC

BD
CRD#: 2347
Past

May 1, 1979 - May 30, 1980

WILLIAM BLAIR

BD
CRD#: 1252

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
Illinois
(1/5/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/26/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/16/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 1/7/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/21/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/1/1989
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/25/1989
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 7/24/1989
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

EP
ETICO PARTNERS, LLC
ETICO PARTNERS, LLC | M.J. WHITMAN LLC

CRD#: 122481 / SEC#: , 8-65500

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
19 Railroad Pl, Ste 202, Saratoga Springs, NY 12866
Mailing Address
19 Railroad Pl, Ste 202, Saratoga Springs, NY 12866
Phone number
(518) 348-0060
Established
Delaware since 05/15/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ETICO FINANCIAL LLCEQUITY HOLDER OF ETICO PARTNERS, LLC
GILBERT, JOSHUA TYLERCCO6578136
KRIEWALD, JESSICAFINOP
LEO, JOSEPH ALBERTEXECUTIVE VP4988004
SANFILIPPO, ANTHONY MARKROSFP865272
WEISMAN, SCOTT ALANCEO2367813

Disclosures

Regulatory Event1

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.

Company Information

ETICO PARTNERS, LLC

CRD#: 122481Saratoga Springs, NY 12866

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