Anthony Carini, financial advisor Brookfield WI
83 score

Anthony Carini

CRD Number: 1434330
Current Firm: Sii Investments, Inc.

Anthony Carini (CRD# 1434330) is an Investment Advisor Representative working at Sii Investments, Inc. in Brookfield, WI and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
Sii Investments Brookfield, WI Jul 2012 - Current 4
Tower Square Securities Brookfield, WI Feb 2004 - Jul 2012 8
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination May 2014
S63 Uniform Securities State Law Examination Aug 1986
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Anthony S. Carini
Phone Number: 800-426-5975
Firm Website: http://www.siionline.com
Registered State(s):
  • FL
  • WI
By the Numbers
  • Total Assets Under Management
    4,226
    MILLIONS
  • Total Number of Accounts
    30,484
    ACCOUNTS
  • Average Account Value
    $138,626
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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