Anthony N. Caruso

Current Employers

Employment History

• 08/2013 → 01/2020
  Ameriprise Financial Services, Inc.
  Florham Park, NJ
• 02/2020 → Present
  Lpl Financial, Llc
  Chester, NJ
• 02/2020 → Present
  Gladstone Wealth Partners
  Chester, NJ
• 08/2013 → 01/2020
  Ameriprise Financial Services, Inc.
  Florham Park, NJ

Previous Registrations

• 2013-08-16 → 2020-02-25
  Ameriprise Financial Services, Llc
  Bedminster, NJ
  Florham Park, NJ
• 2007-05-04 → 2013-08-26
  Ubs Financial Services Inc.
  Warren, NJ
• 2002-10-21 → 2007-05-11
  Citigroup Global Markets Inc.
  Bedminster, NJ
  Bedminster, NJ

Other Businesses

1. 2/14/2020 - Gladstone Wealth Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 2/7/2020 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 2/26/2020 - Gladstone Institutional Advisory, LLC - DBA: (Hybrid) Gladstone Wealth Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 2/7/2020 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Gladstone Institutional Advisory, LLC, an independent investment advisor firm. I started this business activity in 02/2020. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 04/14/2023 - GLADSTONE WEALTH PARTNERS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 10/14/2022 - 40 Hours Per Month/ 40 Hours During Securities Trading 4. 04/19/2023 - GLADSTONE INSTITUTIONAL ADVISORY, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 10/14/2022 - 40 Hours Per Month/ 40 Hours During Securities Trading - I provide investment advisory services through MAR GLADSTONE INSTITUTIONAL ADVISOR, an independent investment advisor firm. I started this business activity in 04/2023. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S63 Uniform Securities Agent State Law Examination
  1992-04-23

Other Names

• Anthony Nicholas Caruso