ANTHONY PASSERINO

ANTHONY PASSERINO is currently employed as a Broker and/or Investment Adviser at CETERA FINANCIAL SPECIALISTS LLC located at 171 E RIDGEWOOD AVENUE, SUITE 201, RIDGEWOOD, NJ, 07450.

ANTHONY PASSERINO has worked at CETERA FINANCIAL SPECIALISTS LLC since October 24, 2005

Disclosure History

ANTHONY PASSERINO has 2 Disclosure Event(s).

Date: October 13, 2010
Category: Regulatory
Initiated By: STATE OF NEW JERSEY - DEPARTMENT OF INSURANCE
Allegations: ORDER CONCLUDED THAT THE ANNUITY ISSUED WAS BASED ON MASTER GROUP CONTRACT WHICH REGISTERED REPRESENTATIVE FAILED TO DISCLOSE AND THAT THE APPLICATION WITH RESPECT TO SUITABILITY CONTAINED MISLEADING INFORMATION
Resolution: Order SanctionDetails:
Sanctions: Censure

Date: February 01, 2009
Category: Customer Dispute
Allegations: CLIENT ALLEGED MISREPRESENTATION OF WITHDRAWAL FEATURES TIED TO THIS VARIABLE ANNUITY PRODUCT WHEN PURCHASE WAS MADE IN JUNE 2007. CLIENT STILL HOLDS INVESTMENT AS OF 06/05/2009
Damage Amount Requested: $150,000.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for ANTHONY PASSERINO, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.