John H. Taddonio
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 H Taddonio, who also goes by John Paul Taddonio, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2010 - January 15, 2020
MORGAN STANLEY
May 28, 2010 - November 12, 2019
MORGAN STANLEY
March 27, 2006 - June 2, 2010
OPPENHEIMER & CO. INC.
March 24, 2006 - June 2, 2010
OPPENHEIMER & CO. INC.
August 14, 1998 - April 7, 2006
RAYMOND JAMES & ASSOCIATES, INC.
August 14, 1998 - April 7, 2006
RAYMOND JAMES & ASSOCIATES, INC.
January 3, 1994 - August 14, 1998
JWGENESIS SECURITIES, INC.
July 30, 1990 - January 3, 1994
JW GENESIS CLEARING CORP.
July 11, 1990 - August 7, 1990
U.S. LEAGUE GOVERNMENT SECURITIES, INC.
May 16, 1990 - August 7, 1990
U.S. LEAGUE SECURITIES, INC.
February 5, 1990 - May 21, 1990
JW GENESIS CLEARING CORP.
April 27, 1989 - February 13, 1990
DOMINICK & DICKERMAN LLC
April 26, 1989 - May 15, 1989
DOMIK CORP.
July 13, 1988 - April 29, 1989
GULFSTREAM FINANCIAL ASSOCIATES, INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
Series 8
Date: 1/19/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
