Anthony serves as Compliance Supervisor with Mariner Advisor Network and is responsible for overseeing advisors’ sales activities and practices to ensure they comply with all regulatory compliance requirements. He periodically assesses and makes practice management recommendations to improve the efficiency of advisor offices. He is also responsible for conducting ongoing compliance program monitoring and regulatory filings with the SEC for The Network’s Hybrid RIA.
Anthony joined The Network in 2006 and has over 10 years of experience in the financial services industry. He began his financial services career in 2000 with Charles Schwab as a registered representative and subsequently held various positions at Citibank and Bank of America as a client relationship manager for high-net-worth clients. With over six years of experience on the sales side of the industry, Anthony understands the increasing regulatory challenges our advisors face today and enjoys helping protect their practices.
Anthony lives in San Francisco with his wife, Margaret, and their son. The family loves to travel to many places in the world – Tokyo, London, Tahiti and Senegal, to name a few – to explore local eateries and bring back new culinary ideas.
- Bachelor of Science in Business, Golden Gate University in San Francisco
- Chartered Financial Analyst® (CFA®) candidate, Level II program
- FINRA Series 7: General Securities Representative Examination
- FINRA Series 24: General Securities Principal Qualification Examination
- FINRA Series 53: Municipal Securities Principal Qualification Examination
- Licensed to sell insurance in the state of California.