John J. Costa
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 Joseph Costa, who also goes by John J Costa, John Joseph Costa Jr, 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, SIE, Series 3, 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
November 14, 2014 - September 6, 2016
SECURITIES AMERICA, INC.
February 1, 2011 - November 14, 2014
SUNSET FINANCIAL SERVICES, INC.
July 30, 2002 - December 7, 2010
OSAIC FS, INC.
February 22, 1999 - November 16, 2001
OLD SLIP CAPITAL MANAGEMENT, INC.
August 14, 1997 - March 1, 1999
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 15, 1995 - April 25, 1997
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
May 5, 1994 - March 15, 1995
MERIDIAN, DUNHILL & CO., INC.
September 7, 1988 - February 17, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 1988 - June 28, 1988
INVESTOCK & CO., INC.
June 8, 1987 - May 6, 1988
LEHMAN BROTHERS INC.
July 12, 1982 - June 10, 1987
UBS FINANCIAL SERVICES INC.
March 2, 1982 - July 13, 1982
BLINDER, ROBINSON & CO., 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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
