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CFP
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CFP

Anthony Cirocco

Raymond James Financial Services Advisors, INC
20 Years of Experience
Buffalo, NY
4 DisclosuresBroker
View SEC Summary
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Anthony Cirocco is a CFP-designated registered investment advisor at Raymond James Financial Services Advisors, INC, based in Buffalo, NY, with 20 years of industry experience. Anthony is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6696 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

434 Delaware Ave, Suite CSG, Buffalo, NY, 14222

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2008
Settled
Customer Dispute
April 2008
Settled
Customer Dispute
March 2008
Settled
Criminal
September 2006
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Anthony is involved in several business activities, including rental real estate, real estate brokerage, and support companies for his financial planning practice. He spends a significant amount of time (over 81 hours per month) as a majority partner in Bill Pack LLC, which processes expenses and revenue for his financial planning practice.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
March 2021 - Present · 5 yrs 7 mos
Raymond James Financial Services, INC.Broker
March 2021 - Present · 5 yrs 7 mos
Previous Registrations
Key Investment Services LLCBroker
September 2016 - March 2021 · 4 yrs 6 mos
Key Investment Services LLC
September 2016 - December 2016 · 3 mos
LPL Financial LLCBroker
May 2012 - September 2016 · 4 yrs 4 mos
LPL Financial LLC
May 2012 - September 2016 · 4 yrs 4 mos
Hsbc Securities (USA) INC.
December 2009 - May 2012 · 2 yrs 5 mos
Hsbc Securities (USA) INC.Broker
April 2006 - May 2012 · 6 yrs 1 mo
New England SecuritiesBroker
October 2005 - December 2005 · 2 mos
State Registrations18 states
AZCAFLGAILKYMDMINCNJNVNYORPATXVAVTWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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