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.


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