John Magistro
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 Magistro was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 22 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
August 5, 2010 - May 17, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 21, 2007 - August 3, 2010
NATIONAL PLANNING CORPORATION
March 12, 2007 - July 20, 2012
CAPITAL INVESTMENT ADVISORS
November 21, 2005 - March 14, 2007
PNC WEALTH MANAGEMENT LLC
November 16, 2005 - March 14, 2007
PNC WEALTH MANAGEMENT LLC
January 8, 1999 - November 7, 2005
CETERA WEALTH SERVICES, LLC
December 1, 1995 - November 7, 2005
CETERA WEALTH SERVICES, LLC
October 9, 1993 - December 17, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
September 24, 1993 - October 27, 1993
NYLIFE SECURITIES LLC
May 24, 1988 - January 9, 1989
IDS LIFE INSURANCE COMPANY
May 24, 1988 - January 9, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 1987 - June 7, 1988
G. R. PHELPS & CO., INC.
October 25, 1983 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
October 25, 1983 - October 19, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
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
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| 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.
