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Here at New York Financial AVP, LLC, we are a New York State Registered Investment Adviser Firm (RIA) held to the fiduciary standard. It is this commitment that brings us to a high standard of care and complete transparency.
We understand why someone cannot bring themselves to personally utilize a discount brokerage or walk into the office of a wealth manager or national broker-dealer, especially not the ones at the end of a strip mall or community corner.
While allocating into common balanced portfolios at a single institution may seem to be a safe strategy, it usually will not last for long - as this approach will have flaws. There are many investment theories that can be implemented by many different managers, and some work better than others during specific market conditions. When maintaining and monitoring accounts at multiple institutions advising with New York Financial AVP is more than a luxury; it’s essential for strong critical reasoning.
We have experience and the ability to oversee complex circumstances by managing a multidisciplinary team of financial professionals for a total financial plan. This level of complexity means monitoring stockbrokers, financial advisors, financial advisers, wealth managers, online discount brokers, estate attorneys, bookkeepers, corporate attorneys, administrative specialists, real estate professionals, bankers, and certified individuals such as certified public accountants, certified financial planners, and others. Our services go beyond monitoring financial professionals. Generally, insurance needs, philanthropic endeavors, security concerns, confidentiality, family, or public relations require a specialized approach.
As a Registered Investment Adviser Firm (RIA), we are committed to revealing and defining access to national and international top-performing money managers. Our services are also available globally to certain agencies or nations seeking to implement an economic strategy or theory.
All services available for select ultra-high-net-worth families, individuals, business owners, political personnel, pension plans, hedge funds, other structured funds, government federal agencies, state agencies, municipalities, FINRA registered Broker/Dealers, RIAs, and representatives. (risk management, all stages of crisis management)
Education and Experience
Financial industry experience - 26 years, including as a Financial Industry Regulatory Authority (FINRA) Registered Principal and New York Stock Exchange (NYSE) member firm Supervisor.
FINRA Representative-level Exams
General Industry/Product Financial Industry Regulatory Authority (FINRA) Securities Qualification Exam passed:
Series 7 General Securities Representative - year 1998
FINRA Principal-level Exams
Principal/Supervisory Financial Industry Regulatory Authority (FINRA) Securities Qualification Exams passed:
Series 24 General Securities Principal - year 2000
Series 9 General Securities Options Sales Supervisor - year 2001
Series 10 General Securities Sales Supervisor - year 2001
NASAA Securities
State Law North American Securities Administrators Association (NASAA) Securities Qualification Exams passed:
Series 63 Uniform Securities Agent State Law - year 1998
Series 65 Uniform Investment Adviser Law - year 2002
New York State Qualification Exam passed in 2002 for:
Insurance Agent, Life, Accident, Health, Fixed Annuities and Variable Annuities.
State University of New York (SUNY) Empire State University:
Bachelor of Science, Business, Management, and Economics
Shortly after joining a small Registered Broker-Dealer in New York, at age 24 (1997) passing Financial Industry Regulatory Authority (FINRA) series 7, and 63 exams were required.
Being entrusted to a supervisory role was delegated, requiring three FINRA supervisory qualification exams - Series 24, 9, and 10.
Passing the FINRA supervisory exams granted the legal capacity to supervise financial industry matters for NYSE and FINRA member firms, gaining enhanced outlooks and knowledge.
In 2001 the small broker/dealer was merged with a NYSE member firm founded in 1876 and publicly traded - Ladenburg Thalmann NYSE (LTS).
Bridging communication with federal, state, and local government agencies was obligatory, leading to some modifications of financial industry regulations and economic strategies.
By 2004 the LTS stock price increased 3,100%, and New York Financial AVP, LLC was formed in New York State.
At the forefront, Spring of 2007, Windham, New York became the primary residence for my family and the corporation, elevating premium consulting service, and pioneering progress.
New York Financial AVP, LLC Code of Ethics
A Registered Investment Adviser Firm
New York Financial AVP, LLC and its Code of Ethics were created to embody our personal and professional lives with our client’s interests first in mind. The code is the standard of conduct for all “supervised” and “access” persons. The code is not only a part of our fiduciary responsibility but also one that is greatly fostered in our culture. Along with the code, all persons are required to comply with all securities laws. A “supervised person” includes a director, officer, partner, employee, or other person who provides advice on behalf of the adviser or is subject to the adviser’s supervision.
Integrity: Your Financial Services Representative shall offer and provide services with integrity. In deciding what is right or wrong, your Financial Services Representative should rely on integrity. Integrity demands honesty and candidness. Within the characteristic of integrity, innocent error and differences of opinion can exist; but integrity cannot co-exist with deceit of one’s principles.
Objectivity: Your Financial Services Representative shall be objective when providing a service to clients. Objectivity requires honesty and unbiased advice, regardless of the service rendered or the capacity in which a Financial Services Representative functions.
Competence: Your Financial Services Representative shall provide services and competently maintain the knowledge to continue to do so in those areas in which they are engaged. Competence includes the wisdom to recognize the limitations of knowledge and when a client referral is appropriate.
Gifts and Entertainment: A conflict of interest is when employees' personal interests could interfere with their responsibilities. No person or supervised person should accept or offer gifts, favors, or others of material value that could influence their decision-making. Similarly, financial professionals should adhere to the same, and the de minimis value applies to everyone.
Confidentiality: The identity of clients and security holdings and financial circumstances are confidential. All information about clients is kept in strict confidence, including the client’s identity, financial circumstances, and advice furnished. All employees are prohibited from disclosing any material nonpublic information about clients.
For further information you may contact:
Anthony Vincent Pranzo at 518-750-8100
Chief Compliance Officer