Vice President - Compliance Officer
Current
2015 - Present
~11 yrs 4 mos
AeroLeads people directory · profile
Anthony Daprato Email & Phone Number
Vice President - Compliance Officer
at
Wellington Shields
2 work emails found
@wellingtonshields.com
LinkedIn matched
✓ Verified May 2026
4 data sources
Profile completeness 100%
Current company
Role
Vice President - Compliance Officer
Location
Queens County, New York, United States
Who is Anthony Daprato? Overview
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Quick answer
Anthony Daprato is listed as Vice President - Compliance Officer at Wellington Shields, based in Queens County, New York, United States. AeroLeads shows a work email signal at wellingtonshields.com and a matched LinkedIn profile for Anthony Daprato.
Anthony Daprato previously worked as Vice President - Oversight Manager at Rbc Wealth Management and Associate/Associate Director - Branch Manager at Jp Morgan/Bear Stearns. Anthony Daprato holds Bachelor Of Arts (B.A.), Economics & Business Finance from State University Of New York At Fredonia.
Company email context
Email format at Wellington Shields
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{first}.{last}@wellingtonshields.com
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AeroLeads found 2 current-domain work email signals for Anthony Daprato. Compare company email patterns before reaching out.
Profile bio
About Anthony Daprato
Senior Compliance and Branch Supervision professional with extensive experience working with large Investment Banks providing guidance to investment advisor business units on operational, regulatory and client on-boarding issues. Proven ability to identify and evaluate potential business risks and resolve or escalate accordingly. Strengths include:* Working knowledge of federal regulations, including the Investment Advisers Act of 1940, FINRA rules, USA Patriot Act and FATCA* Client On-boarding including KYC and AML requirements* Trade Surveillance* Due Diligence review of Investment Advisors and Separate Account Managers* Providing guidance to business on operational and regulatory issues* FINRA licenses - Series 4, 7, 8, 24, 63 & 65
Listed skills include Securities, Financial Services, Equities, Hedge Funds, and 16 others.
Current workplace
Anthony Daprato's current company
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4 roles · 34 years
Anthony Daprato work experience
A career timeline built from the work history available for this profile.
Vice President - Oversight Manager
Managed a team of Analysts conducting trade surveillance and client on-boarding for compliance with the Investment Advisers Act of 1940, FINRA, USA Patriot Act and FATCA regulations for the Advisor Services department through which RBC provides custody services to independent Registered Investment Advisors. Wrote and enhanced supervisory procedures.
2010 - 2015
~5 yrs
Associate/Associate Director - Branch Manager
Managed and mentored a team of Branch Management professionals conducting surveillance and client on-boarding activities for both Investment Advisors and Hedge Funds. Utilized the Actimize compliance system to detect patterns of questionable sales practices and partnered with IT to create and implement new surveillance reports. Managed the self directed.
1998 - 2010
~12 yrs
Assistant Vice President - Compliance Officer
Supported Registered Representatives with the formation of their own independent registered advisory firms, including review and guidance on completing Form ADV, advisory agreements, disclosure statements, branch recordkeeping requirements, code of ethics, solicitation agreements and registering with the SEC and state jurisdictions. Wrote various.
1992 - 1998
~6 yrs
1 education record
Anthony Daprato education
-
State University Of New York At Fredonia
FAQ
Frequently asked questions about Anthony Daprato
Quick answers generated from the profile data available on this page.
What company does Anthony Daprato work for?
Anthony Daprato works for Wellington Shields.
What is Anthony Daprato's role at Wellington Shields?
Anthony Daprato is listed as Vice President - Compliance Officer at Wellington Shields.
What is Anthony Daprato's email address?
AeroLeads has found 2 work email signals at @wellingtonshields.com for Anthony Daprato at Wellington Shields.
Where is Anthony Daprato based?
Anthony Daprato is based in Queens County, New York, United States while working with Wellington Shields.
What companies has Anthony Daprato worked for?
Anthony Daprato has worked for Wellington Shields, Rbc Wealth Management, Jp Morgan/Bear Stearns, and Aig Royal Alliance.
How can I contact Anthony Daprato?
You can use AeroLeads to view verified contact signals for Anthony Daprato at Wellington Shields, including work email, phone, and LinkedIn data when available.
What schools did Anthony Daprato attend?
Anthony Daprato holds Bachelor Of Arts (B.A.), Economics & Business Finance from State University Of New York At Fredonia.
What skills is Anthony Daprato known for?
Anthony Daprato is listed with skills including Securities, Financial Services, Equities, Hedge Funds, Series 7, Finra, Investments, and Anti Money Laundering.
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