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John Carmine Siciliano

CRD# 1022427·Registered 1996 - 2013
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Carmine Siciliano was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1996 - 2013. John had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

30 years in the financial services industry

Current & Past Employments

GRAIL SECURITIES, LLC·CRD# 136258
BD
San Francisco, CA
March 2, 2012 - May 2, 2013
NYLIFE DISTRIBUTORS LLC·CRD# 35350
BD
New York, NY
January 14, 2009 - November 2, 2010
GRAIL SECURITIES, LLC·CRD# 136258
BD
New York, NY
January 22, 2007 - December 17, 2008
LEVCO SECURITIES, INC.·CRD# 41585
BD
New York, NY
October 5, 2005 - November 28, 2006
DFA SECURITIES LLC·CRD# 10292
BD
Austin, TX
May 9, 2001 - September 28, 2005
PAYDEN & RYGEL DISTRIBUTORS·CRD# 29868
BD
Los Angeles, CA
June 30, 1998 - January 5, 2001
COMMERZ MARKETS LLC·CRD# 41957
BD
New York, NY
December 17, 1996 - April 8, 1998
DRESDNER SECURITIES (USA) INC.·CRD# 1993
BD
New York, NY
August 27, 1996 - December 17, 1996

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Current Firm

GS
GRAIL SECURITIES, LLC

GRAIL SECURITIES, LLC

CRD#: 136258 / SEC#: 8-66994
BD
Terminated by SEC on 04/14/2017

Contact Information

Established

Delaware since 05/06/2005

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
GRAIL PARTNERS LLCOWNER—
DEREMER, DARLENE TARRISPRINCIPAL, MEMBER, AML OFFICER1306822
FOX, ROBERT MICHAELCCO/CFO/FINOP4420688
PUTNAM, DONALD HARDING JRMANAGING MEMBER1065385

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2007About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 1996About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 1996About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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