Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anthony? Claim Your ProfileAnthony Gaines is a registered investment advisor representative with Wells Fargo Clearing Services, LLC. Anthony has been in the industry since August 7, 2016. Anthony is registered with the state of California. Anthony has Series 6, 7, and 66 licenses. Anthony is also registered with the state of California as an investment advisor representative. Anthony has previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and J.P. Morgan Securities LLC. Anthony has experience in financial planning and portfolio management for individuals and businesses.
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.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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.
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2
CA
05/20/2021 - Present
Wells Fargo Clearing Services, LLC (SAN DIEGO CA)
CA
10/02/2018 - 08/01/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (OAKLAND CA)
CA
05/13/2014 - 04/23/2018
J.P. MORGAN SECURITIES LLC (OAKLAND CA)
BOTH
Issued 02/06/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/22/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/23/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/2016
Series 7 - General Securities Representative Examination
BC
Issued 05/12/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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