John P. Spacciapoli
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 Peter Spacciapoli was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 16 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2002 - December 14, 2016
STONEX SECURITIES INC.
December 12, 2001 - September 25, 2002
COMMERCE ONE FINANCIAL INC.
February 28, 2000 - December 17, 2001
CANTELLA & CO., INC.
May 9, 1995 - November 15, 1995
COBURN & MEREDITH, INC.
March 14, 1995 - June 5, 1995
CULVERWELL & CO., INC.
November 22, 1994 - February 14, 1995
H.J. MEYERS & CO., INC.
March 7, 1994 - September 28, 1994
DUNHILL EQUITIES, INC.
June 25, 1992 - September 3, 1993
H.C.WAINWRIGHT & CO., LLC
September 23, 1991 - May 4, 1992
MORGAN STANLEY DW INC.
November 26, 1990 - October 3, 1991
MF GLOBAL INC.
May 29, 1990 - September 18, 1990
JJC SECURITIES CO., INC.
January 1, 1990 - May 29, 1990
JSC SECURITIES, INC.
June 20, 1989 - November 14, 1989
MOORS & CABOT, INC.
December 14, 1988 - April 17, 1989
LEHMAN BROTHERS INC.
April 6, 1988 - November 19, 1988
MORGAN STANLEY DW INC.
July 23, 1986 - April 19, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 1982 - May 9, 1983
FORESTERS FINANCIAL SERVICES, 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
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
