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Detailed Report
Anthony Adam DiPace
ANTHONY DI PACE, Anthony A DiPace
CRD#: 6667325
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 133 WOLF RD
ALBANY, NY 12205
Registration History
201620172018201920202021202220232024202520262 FIRMS2020 - Present (4 years)BEDWARD JONES (CRD# 250)2019 - 2020 (<1 year)BKEY INVESTMENT SERVICES LLC (CRD# 136300)2017 - 2019 (1 year)BCITIZENS SECURITIES, INC. (CRD# 39550)2016 - 2017 (1 year)IAEDWARD JONES (CRD# 250)2020 - 2020 (<1 year)
License(s)

State Registrations

B
California 6/8/2020
B
New Hampshire 6/8/2020
B
Colorado 7/14/2023
B
New Jersey 6/8/2020
B
Connecticut 6/8/2020
B
New York 6/8/2020
IA
Connecticut 6/8/2020
IA
New York 4/19/2021
B
Delaware 6/11/2020
B
North Carolina 6/8/2020
B
District of Columbia 6/8/2020
B
Pennsylvania 6/8/2020
B
Florida 6/8/2020
B
Rhode Island 6/8/2020
B
Maine 6/8/2020
B
Texas 6/8/2020
B
Maryland 6/8/2020
IA
Texas 6/8/2020
B
Massachusetts 6/8/2020
B
Vermont 6/8/2020

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
133 WOLF RD, ALBANY, NY 12205
Registered with this firm since 6/8/2020
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
133 WOLF RD, ALBANY, NY 12205
Registered with this firm since 6/8/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/08/2020 - 04/14/2020 EDWARD JONES (CRD#:250) LATHAM, NY
B
 11/21/2019 - 04/14/2020 EDWARD JONES (CRD#:250) LATHAM, NY
B
 10/06/2017 - 08/01/2019 KEY INVESTMENT SERVICES LLC (CRD#:136300) ALBANY, NY
B
 08/22/2016 - 09/11/2017 CITIZENS SECURITIES, INC. (CRD#:39550) LOUDONVILLE, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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
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.