John R. Fay
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 Robert Fay was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
December 22, 1993 - January 16, 2014
CITIGROUP GLOBAL MARKETS INC.
June 30, 1989 - December 1, 1993
PERSHING LLC
August 26, 1982 - March 31, 1989
L. F. ROTHSCHILD & CO. INCORPORATED
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
SALOMON BROTHERS INC.
CRD#: 740 / SEC#: , 8-26920
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.
