Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anthony? Claim Your ProfileAnthony John Maroon is a financial professional with over 24 years of experience in the industry. Anthony is currently registered with BMO Capital Markets Corp. and is licensed in 51 states and the District of Columbia. Anthony has previously worked at Goldman, Sachs & Co., UBS Securities LLC, and CIBC World Markets Corp. Anthony holds a variety of licenses including Series 3, 6, 7, 9, 55, 57, and 63. Anthony is a dedicated financial professional who is committed to providing clients with the best possible service.
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.
Provision of securities trading ideas and research
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.
Fees for securities trading ideas and research
1
2
MA
04/24/2012 - Present
BMO Capital Markets Corp. (BOSTON MA)
NY
07/22/2008 - 04/26/2012
GOLDMAN, SACHS & CO. (NEW YORK NY)
MA
08/09/2001 - 06/04/2008
UBS SECURITIES LLC (BOSTON MA)
NY
04/28/1998 - 07/17/2001
CIBC WORLD MARKETS CORP. (NEW YORK NY)
MA
10/30/1996 - 04/09/1997
COLONIAL INVESTMENT SERVICES, INC. (BOSTON MA)
BC
Issued 06/17/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/19/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/26/2008
Series 3 - National Commodity Futures Examination
BC
Issued 02/27/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/23/1998
Series 7 - General Securities Representative Examination
BC
Issued 10/29/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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