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JM

John Anthony Masi Sr

CRD# 1030829·Registered 1982 - 2003
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 Anthony Masi SR, who also goes by John Anthony Masi, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1982 - 2003. John had worked at 12 firms and has passed the Series 63, Series 7, Series 8, Series 4 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

John Anthony Masi

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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

44 years in the financial services industry

Current & Past Employments

ALANAR INCORPORATED·CRD# 23225
BD
Sullivan, IN
June 16, 2003 - July 30, 2003
G1 EXECUTION SERVICES, LLC·CRD# 111528
BD
Chicago, IL
June 5, 2001 - February 1, 2002
GVR COMPANY·CRD# 31172
BD
Chicago, IL
September 12, 2000 - June 5, 2001
PETERS SECURITIES CO., LP·CRD# 15970
BD
Chicago, IL
July 7, 1999 - June 30, 2000
APEX CLEARING CORPORATION·CRD# 13071
BD
Dallas, TX
March 15, 1997 - December 17, 1998
UBS CAPITAL MARKETS L.P.·CRD# 2692
BD
Stamford, CT
February 22, 1997 - March 11, 1997
BRIDGE TRADING COMPANY·CRD# 6822
BD
St. Louis, MO
May 29, 1996 - October 31, 1996
QUICK & REILLY, INC.·CRD# 11217
BD
New York, NY
September 1, 1989 - December 12, 1995
CARLYLE & CHRISTIE CAPITAL INC.·CRD# 14810
BD
December 19, 1988 - March 1, 1989
CARY GRANT & COMPANY, INC.·CRD# 7710
BD
February 1, 1988 - September 12, 1989
HAAS SECURITIES CORPORATION·CRD# 2104
BD
September 20, 1983 - November 19, 1987
HARRIS INVESTORLINE·CRD# 6580
BD
March 30, 1982 - August 8, 1983

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Current Firm

AI
ALANAR INCORPORATED

ALANAR INCORPORATED

CRD#: 23225 / SEC#: 8-40287
BD
Revoked by SEC on 10/05/2005

Contact Information

Established

Georgia since 09/01/1988

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
REEVES, VAUGHN ALAN SRCEO1194419

Disclosures

Regulatory Event

6

Civil Event

1

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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 Jul 2003About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1982About the Series 7 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Dec 1993

Series 4 — Registered Options Principal Examination

Passed Feb 1989About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Apr 1988About 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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