Anthony DaPratoVP, Compliance Officer
Year joined Wellington Shields:
2015
Current:
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.
