John A. Marrone
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Anthony Marrone was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 20 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2016 - December 15, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
May 16, 2016 - December 15, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
April 24, 2014 - September 17, 2014
FINANCIAL WEST GROUP
April 17, 2014 - September 17, 2014
FINANCIAL WEST GROUP
August 23, 2011 - May 14, 2012
FAIRVIEW SECURITIES, INC.
April 28, 2010 - November 26, 2010
ARGENTUS SECURITIES, LLC
April 22, 2010 - November 26, 2010
FORTITUDE ADVISORY GROUP L.L.C.
December 15, 2008 - February 5, 2009
NEXCORE CAPITAL, INC.
December 9, 2008 - February 5, 2009
NEXCORE FINANCIAL SERVICES, INCORPORATED
April 2, 2007 - August 16, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - August 16, 2007
MORGAN STANLEY & CO. LLC
December 14, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
December 14, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
October 5, 2005 - January 10, 2007
CREDIT SUISSE SECURITIES (USA) LLC
July 21, 2004 - January 10, 2007
CREDIT SUISSE SECURITIES (USA) LLC
December 9, 2002 - July 15, 2004
THE SEIDLER COMPANIES INCORPORATED
March 6, 1998 - December 9, 2002
ROTH CAPITAL PARTNERS, LLC
March 19, 1997 - February 18, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 27, 1992 - March 13, 1997
SUTRO & CO. INCORPORATED
January 18, 1991 - January 14, 1992
MORGAN STANLEY DW INC.
September 4, 1990 - December 18, 1990
WELLS FARGO CLEARING SERVICES, LLC
April 13, 1989 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
October 22, 1987 - April 12, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
August 5, 1985 - October 5, 1987
UBS FINANCIAL SERVICES INC.
October 5, 1983 - July 23, 1985
JEFFERIES LLC
October 22, 1981 - March 21, 1985
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/31/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
