Individual Firm
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Anthony Trevor Santoloci
CRD#: 6016574
IA
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SHUFRO, ROSE & CO., LLCCRD#: 3403 600 LEXINGTON AVENUE
15TH FLOOR
NEW YORK, NY 10022
15TH FLOOR
NEW YORK, NY 10022
0
Disclosures
8
Years of Experience
View By:
State Registrations
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New York 3/29/2021
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Registered with this firm since 3/29/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/04/2017 - 03/05/2019 | NEW YORK, NY | |
B | 08/03/2017 - 03/05/2019 | NEW YORK, NY | |
IA | 06/26/2017 - 08/11/2017 | PARSIPPANY, NJ | |
B | 05/31/2017 - 07/28/2017 | PARSIPPANY, NJ | |
IA | 08/08/2014 - 06/28/2017 | PARSIPPANY, NJ | |
B | 05/06/2014 - 06/28/2017 | PARSIPPANY, NJ |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.