John P. Carriero
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 Carriero was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, 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
May 24, 2022 - December 20, 2023
VELOCITY CLEARING, LLC
May 31, 2018 - June 14, 2022
VELOCITY CAPITAL, LLC
April 1, 2015 - December 15, 2017
KBFG SECURITIES AMERICA INC.
October 8, 2010 - April 15, 2013
GLEACHER & COMPANY SECURITIES, INC.
June 8, 2009 - September 10, 2010
SARATOGA CAPITAL MARKETS
January 31, 2008 - April 17, 2009
GAR WOOD SECURITIES, LLC
March 2, 2004 - May 2, 2005
LEHMAN BROTHERS INC.
June 29, 1998 - April 8, 2003
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
June 12, 1997 - September 2, 1997
SBC WARBURG, INC.
August 1, 1996 - March 13, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 1985 - September 28, 1988
ADVANTAGE CAPITAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/6/2010
Limited Representative-Equity Trader ExamCurrent Firm
VELOCITY CLEARING, LLC
CRD#: 126588 / SEC#: , 8-65894
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 19 |
Red Flags
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