Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anthony? Claim Your ProfileAnthony Falconieri is a registered investment advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Anthony has been in the financial industry since 1993. Anthony has passed the Series 3, Series 7, Series 10, Series 24, Series 63, and Series 65 exams. Previously, Anthony worked at Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Essex National Securities, Inc., Invest Financial Corporation, BHCM Inc., MDS Securities Incorporated, Republic Financial Services Corporation, FN Investment Center, and Dean Witter Reynolds Inc. Anthony has served clients in various states, including Connecticut, New York, and Texas.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
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)
IA
Issued 10/1/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/13/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 4/27/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 3/27/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 4/14/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/17/2007
Series 3 - National Commodity Futures Examination
BC
Issued 10/6/1993
Series 7 - General Securities Representative Examination
Active
Inactive
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
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