• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
ANTHONY PAGANO
CRD#: 4813177
IA
Investment Adviser
B
Broker
JOSEPH P. LUCIA & ASSOCIATES, LLCCRD#: 147625 3505 HILL BLVD.
SUITE J
YORKTOWN HEIGHTS, NY 10598
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 3505 Hill Blvd.
Suite J
Yorktown Heights, NY 10598
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2005 (<1 year)2 FIRMS2008 - 2010 (2 years)2 FIRMS2010 - 2014 (4 years)IAJOSEPH P. LUCIA & ASSOCIATES, LLC (CRD# 147625)2023 - Present (1 year)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2022 - Present (2 years)BCREATIVEONE SECURITIES, LLC (CRD# 152974)2016 - 2022 (6 years)BFSC SECURITIES CORPORATION (CRD# 7461)2014 - 2016 (1 year)BHSBC SECURITIES (USA) INC. (CRD# 19585)2005 - 2007 (2 years)IACREATIVEONE SECURITIES, LLC (CRD# 152974)2022 - 2022 (<1 year)IACLIENT ONE SECURITIES LLC (CRD# 152974)2019 - 2021 (2 years)IACLIENT ONE SECURITIES LLC (CRD# 152974)2016 - 2018 (1 year)IAFSC SECURITIES CORPORATION (CRD# 7461)2015 - 2016 (1 year)IAHSBC SECURITIES (USA) INC. (CRD# 19585)2006 - 2007 (1 year)
License(s)

State Registrations

B
Connecticut 11/2/2022

IA
New York 3/27/2023

B
New Hampshire 7/31/2024

B
North Carolina 10/23/2024

B
New Jersey 10/23/2024

B
Pennsylvania 11/2/2022

B
New York 11/2/2022

B
South Carolina 10/23/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
JOSEPH P. LUCIA & ASSOCIATES, LLC (CRD#:147625)
3505 HILL BLVD. SUITE J, YORKTOWN HEIGHTS, NY 10598
Registered with this firm since 3/27/2023

B
PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747)
3505 Hill Blvd. Suite J, Yorktown Heights, NY 10598
Registered with this firm since 11/2/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/04/2022 - 11/01/2022 CREATIVEONE SECURITIES, LLC (CRD#:152974) Yorktown Heights, NY
B
11/04/2016 - 11/01/2022 CREATIVEONE SECURITIES, LLC (CRD#:152974) Yorktown Heights, NY
IA
11/15/2019 - 12/31/2021 CLIENT ONE SECURITIES LLC (CRD#:152974) Yorktown Heights, NY
IA
11/07/2016 - 01/02/2018 CLIENT ONE SECURITIES LLC (CRD#:152974) Yorktown Heights, NY
IA
01/02/2015 - 11/11/2016 FSC SECURITIES CORPORATION (CRD#:7461) YORKTOWN, NY
B
12/18/2014 - 11/11/2016 FSC SECURITIES CORPORATION (CRD#:7461) YORKTOWN, NY
IA
07/16/2010 - 10/31/2014 ESSEX NATIONAL SECURITIES, LLC (CRD#:25454) BRONX, NY
B
07/16/2010 - 10/31/2014 ESSEX NATIONAL SECURITIES, LLC (CRD#:25454) BRONX, NY
IA
03/13/2008 - 07/09/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) BRONX, NY
B
03/13/2008 - 07/09/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) BRONX, NY
IA
06/12/2006 - 11/30/2007 HSBC SECURITIES (USA) INC. (CRD#:19585) YONKERS, NY
B
06/21/2005 - 11/30/2007 HSBC SECURITIES (USA) INC. (CRD#:19585) YONKERS, NY
IA
11/04/2004 - 06/13/2005 MORGAN STANLEY (CRD#:7556) RIDGEWOOD, NJ
B
08/25/2004 - 06/13/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.