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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anthony? Claim Your ProfileAnthony Sofronas is an active Broker/Dealer and Investment Advisor Representative with over 30 years of experience in the industry. Anthony is currently registered with UBS Financial Services Inc. in New Jersey and is also registered with the Securities Investor Protection Corporation (SIPC). Anthony has a long history of working with clients in various states, including New Jersey, New York, and Florida. Prior to his current role, Anthony held positions with firms such as CHARLES SCHWAB & CO., INC., INSTINET CORPORATION, and QUICK & REILLY, INC. Anthony has a wide range of experience in the financial services industry and is well-equipped to provide clients with comprehensive financial advice and investment services.
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.
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.
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.
See schedule d - miscellaneous
1
2
NJ
03/02/2010 - Present
UBS Financial Services Inc. (New Providence NJ)
NJ
06/25/2003 - 02/25/2010
CHARLES SCHWAB & CO., INC. (JERSEY CITY NJ)
NY
08/01/2000 - 01/14/2003
INSTINET CORPORATION (NEW YORK NY)
NY
04/17/2000 - 08/01/2000
INSTINET CORPORATION (NEW YORK NY)
NY
03/02/1992 - 04/17/2000
QUICK & REILLY, INC. (NEW YORK NY)
NA
12/13/1985 - 03/13/1990
DREXEL BURNHAM LAMBERT INCORPORATED
BOTH
Issued 01/17/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/17/1985
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 02/21/2006
Series 24 - General Securities Principal Examination
BC
Issued 11/15/1997
Series 4 - Registered Options Principal Examination
BC
Issued 05/20/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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