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Anthony Falconieri

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Anthony Falconieri

Anthony Falconieri is a financial advisor currently working with Merrill Lynch, Pierce, Fenner & Smith Inc. based in NEW YORK, NY. Anthony has been in the financial industry since 1993. Anthony has a total of 56 registrations as a broker-dealer and investment advisor.

Firm Information

Anthony Falconieri is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Merrill Lynch, Pierce, Fenner & Smith Inc., established in 1958, is a corporation headquartered in NEW YORK, NY. They offer a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. They are registered with the SEC and in all 50 states, with over 26,000 investment advisor representatives and registered representatives. Their services target high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. They manage assets exceeding $1 trillion, demonstrating their extensive experience in the financial industry.
Merrill Lynch, Pierce, Fenner & Smith Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

$1.27T

Assets Under Management

16,965

Total Clients

25,158

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Anthony Falconieri’s Registration & Firm History

NY

01/28/2013 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)

NY

04/02/2007 - 05/13/2008

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

NY

03/15/2001 - 04/02/2007

MORGAN STANLEY DW INC. (NEW YORK NY)

CA

10/05/1998 - 03/16/2001

ESSEX NATIONAL SECURITIES, INC. (NAPA CA)

WI

02/11/1997 - 09/30/1998

INVEST FINANCIAL CORPORATION (APPLETON WI)

TX

01/31/1997 - 02/25/1997

BHCM INC. (HOUSTON TX)

IN

06/17/1996 - 01/27/1997

MDS SECURITIES INCORPORATED (CARMEL IN)

NY

03/20/1996 - 05/07/1996

REPUBLIC FINANCIAL SERVICES CORPORATION (NEW YORK NY)

CA

11/07/1994 - 03/18/1996

FN INVESTMENT CENTER (SACRAMENTO CA)

NY

10/07/1993 - 11/04/1994

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

IA

Issued 10/01/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/13/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/27/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 03/27/2001

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 04/14/1999

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/17/2007

Series 3 - National Commodity Futures Examination

BC

Issued 10/06/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Anthony Falconieri.
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