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Anthony Vincent Palo

Barclays Capital Inc.

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About Anthony Vincent Palo

Anthony Vincent Palo has been in the financial services industry since May 23, 1999. Anthony is currently registered with Barclays Capital Inc. and is licensed in New York. Anthony has previously been registered with Lehman Brothers Inc., National Financial Services LLC and HarrisDirect LLC. Anthony has a broad range of experience in the financial services industry, having worked with a variety of firms and holding several licenses. Anthony is a licensed general securities principal, a general securities representative, an operations professional, and holds the Series 63 license.

Firm Information

Anthony Palo is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Anthony Palo’s Registration & Firm History

NY

09/22/2008 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

06/05/2007 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

06/23/2005 - 06/18/2007

NATIONAL FINANCIAL SERVICES LLC (NEW YORK NY)

NJ

04/21/1999 - 05/20/2005

HARRISDIRECT LLC (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 09/07/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/01/1999

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/20/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Anthony Vincent Palo.
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