Anthony DaPratoVP, Compliance Officer

Year joined Wellington Shields:



Anthony brings 35 years industry experience working for banking institutions providing guidance on operational, regulatory, and client on-boarding issues to investment advisor business units. As a Compliance Officer, he embraces the challenge of interpreting new regulations, writing corresponding WSP’s and disseminating those requirements to our staff.

Previous Experience/Career Highlights:

Anthony gained industry experience and forged his leadership skills at Royal Bank of Canada, JP Morgan, Bear Stearns, and AIG.

Education and Certifications:

  • State University of New York, College at Fredonia, BA – Economics and Business Finance
  • FINRA Licenses: Series 4, 7, 8, 24, 63, 65

Other Interests and/or Affiliations:

Anthony likes to keep active—hiking, bicycling, travelling and spending time at the beach. He is also an enthusiastic explorer of the neighborhoods within New York City and its surrounding areas.

broker check
© Copyright 2023. JTW/DBC Enterprises