Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anthony? Claim Your ProfileAnthony Walia is a financial advisor with over 20 years of experience in the financial services industry. Anthony has a proven track record of helping clients achieve their financial goals. Anthony is currently registered with Fidelity Personal And Workplace Advisors. Anthony has previously been registered with LPL Financial LLC, TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, BANC OF AMERICA INVESTMENT SERVICES, INC., CITICORP INVESTMENT SERVICES, TD WATERHOUSE INVESTOR SERVICES, INC., IDS LIFE INSURANCE COMPANY, AMERICAN EXPRESS FINANCIAL ADVISORS INC., and CONTINENTAL BROKER-DEALER CORP.. Anthony holds a Series 7, Series 10, Series 9, Series 63, Series 65 and Series 66 license. Anthony has a strong understanding of investment strategies and can provide advice on a variety of financial topics, including retirement planning, college savings, and estate planning. Anthony is committed to providing personalized service and helping clients make informed decisions about their finances.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
NY
09/11/2022 - Present
Fidelity Personal AND Workplace Advisors (PLAINVIEW NY)
NY
02/01/2021 - 02/02/2022
LPL FINANCIAL LLC (BELLMORE NY)
NY
03/25/2015 - 11/13/2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (NEW YORK NY)
NY
10/23/2009 - 11/21/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GARDEN CITY NY)
NY
02/15/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (NEW YORK NY)
NY
08/04/2004 - 12/20/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NE
10/09/1998 - 06/28/2004
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
MN
05/16/1998 - 05/21/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
MN
05/16/1998 - 09/25/1998
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
NY
04/08/1998 - 06/04/1998
CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)
IA
Issued 4/25/2015
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 8/7/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 1/28/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 5/4/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 5/4/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
Not sure Anthony Walia is the right advisor for you? Invested Better is here to help.
Copyright 2024 Invested Better
Invested Better, LLC ("Invested Better") provides a matching service whereby users are connected with third-party financial advisors ("Advisors") who are registered and licensed as financial advisors in the United States and have elected to participate in our matching platform. Information provided by users through our online questionnaire facilitates the determination of suitable Advisor matches. Invested Better receives a set cost per lead compensation from Advisors in exchange for this referral service.
Please be advised that Invested Better does not evaluate the ongoing performance of any Advisor, nor does it participate in the management of user accounts or provide advice regarding specific investments. We do not manage client funds or hold assets in custody. Our role is solely to facilitate connections between users and potentially suitable financial advisors. All investing involves inherent risks, including the potential loss of principal. There is no guarantee that working with an advisor will result in positive returns. Potential downsides include the payment of fees, which can reduce overall returns. The existence of a fiduciary duty does not preclude the potential for conflicts of interest.
Invested Better maintains a directory of all actively registered financial advisors and firms based on the public filings with FINRA and SEC. Advisors and firms may verify their identity to claim and take control to update and edit their profile information. Invested Better does not guarantee the accuracy of any information updated by advisors or firms on their profile.
