John A. Masi
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 Masi SR, who also goes by John Anthony Masi, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 12 firms and has passed the Series 63, Series 7, Series 8, Series 4 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
June 16, 2003 - July 30, 2003
ALANAR INCORPORATED
June 5, 2001 - February 1, 2002
G1 EXECUTION SERVICES, LLC
September 12, 2000 - June 5, 2001
GVR COMPANY
July 7, 1999 - June 30, 2000
PETERS SECURITIES CO., LP
March 15, 1997 - December 17, 1998
APEX CLEARING CORPORATION
February 22, 1997 - March 11, 1997
UBS CAPITAL MARKETS L.P.
May 29, 1996 - October 31, 1996
BRIDGE TRADING COMPANY
September 1, 1989 - December 12, 1995
QUICK & REILLY, INC.
December 19, 1988 - March 1, 1989
CARLYLE & CHRISTIE CAPITAL INC.
February 1, 1988 - September 12, 1989
CARY GRANT & COMPANY, INC.
September 20, 1983 - November 19, 1987
HAAS SECURITIES CORPORATION
March 30, 1982 - August 8, 1983
HARRIS INVESTORLINE
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: 12/7/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALANAR INCORPORATED
CRD#: 23225 / SEC#: , 8-40287
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
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.
