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Anthony Michael Sardo

Rbc Capital Markets, LLC

Farmington, CT

Rocky Hill, CT

CRD 4784381

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Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-10-03
CT RA APPROVED 2022-09-28
  • TX RA
    APPROVED_RES
    Since 2022-10-03
  • CT RA
    APPROVED
    Since 2022-09-28

Branch Locations

30 Batterson Park Road Suite 350, Farmington, CT 06032 • United States

Rocky Hill, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Hartford CT 05/2009 11/2016
Wells Fargo Clearing Services, Llc Hartford CT 11/2016 09/2022
Rbc Capital Markets, Llc Farmington CT 09/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-06
S63 Uniform Securities Agent State Law Examination 2004-07-12
  • S65 Uniform Investment Adviser Law Examination
    2006-05-06
  • S63 Uniform Securities Agent State Law Examination
    2004-07-12

View on SEC IAPD

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NEW ENGLAND ASSET MANAGEMENT, INC. · FARMINGTON, CT
CREATIVE PLANNING · Farmington, CT
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