Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anthony? Claim Your ProfileAnthony Stapleton is a financial advisor with over 27 years of experience in the financial services industry. Anthony currently works at TIAA-CREF Individual & Institutional Services, LLC. Anthony is registered with the state of California and is licensed as a Registered Representative. Anthony has worked with many clients throughout his career, including high-net-worth individuals, corporations or other businesses, and charitable organizations. Anthony holds Series 7, 9, 10, 63, and 66 licenses and has passed the Securities Industry Essentials (SIE) exam. Anthony focuses on providing financial planning and portfolio management services to clients.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
CA
10/13/2023 - Present
Tiaa-Cref Individual & Institutional Services, LLC (SAN DIEGO CA)
CA
03/23/2023 - 08/11/2023
MORGAN STANLEY (San Diego CA)
CA
10/25/2018 - 08/11/2023
E*TRADE SECURITIES LLC (San Diego CA)
CA
10/18/2005 - 03/08/2018
SCOTTRADE, INC. (LA MESA CA)
TX
02/04/2004 - 10/17/2005
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NE
11/07/1997 - 07/28/2003
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
CA
06/04/1996 - 11/07/1997
KENNEDY, CABOT & CO. (BEVERLY HILLS CA)
NY
08/28/1992 - 01/11/1995
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 02/10/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/01/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/04/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 03/08/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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