John C. Siciliano
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 Carmine Siciliano was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2012 - May 2, 2013
GRAIL SECURITIES, LLC
January 14, 2009 - November 2, 2010
NYLIFE DISTRIBUTORS LLC
January 22, 2007 - December 17, 2008
GRAIL SECURITIES, LLC
October 5, 2005 - November 28, 2006
LEVCO SECURITIES, INC.
May 9, 2001 - September 28, 2005
DFA SECURITIES LLC
June 30, 1998 - January 5, 2001
PAYDEN & RYGEL DISTRIBUTORS
December 17, 1996 - April 8, 1998
COMMERZ MARKETS LLC
August 27, 1996 - December 17, 1996
DRESDNER SECURITIES (USA) 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
Current Firm
GRAIL SECURITIES, LLC
CRD#: 136258 / SEC#: , 8-66994
Contact information
Documents
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.
