Anthony Branca (CRD #: 1178639), an investment adviser registered with Woodstock Wealth Management, is facing an allegation regarding his failure to supervise, according to his IAPD record, accessed on January 4, 2021.
On October 30, 2020, a client alleged that Anthony Branca had failed to supervise registered representatives regarding a claim of selling away. “Selling away” refers to the practice of executing transactions outside of the financial advisor’s member firm. The client is seeking $73,000; the dispute is pending.
Anthony Branca has passed the Series 66 Uniform Combined State Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, the Series 53 Municipal Securities Principal Examination, Series 8 General Securities Sales Supervisor Examination (Options Module & General Module), and the Series 24 General Securities Principal Examination. He is a registered investment adviser in Georgia.
Anthony Branca has worked in the securities industry for 30 years. In his three-decade career, Branca has worked at nine firms:
- Woodstock Financial Group (CRD #: 38095)
- IC Advisory Services (CRD #: 140190)
- The Investment Center (CRD #: 17839)
- The Concord Equity Group (CRD #: 14569)
- J.J.B. Hilliard, W.L. Lyons (CRD #: 453)
- Atlantic Group Securities (CRD #: 42194)
- Rickel Associates (CRD #: 7839)
- Halpert and Company (CRD #: 7084)
If Anthony Branca was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for a free case consultation with a securities attorney.