John R. Huber
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 Huber, who also goes by John Robert Huber Jr, John Robert Huber Jr., was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 24 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
October 10, 2018 - November 14, 2019
TFS DERIVATIVES LLC
May 7, 2010 - July 18, 2014
CITIGROUP GLOBAL MARKETS INC.
April 5, 2007 - April 19, 2010
PERSHING LLC
May 5, 2005 - April 9, 2007
NATIONAL FINANCIAL SERVICES LLC
January 25, 2000 - May 31, 2001
DEUTSCHE BANK SECURITIES INC.
May 9, 1988 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
May 7, 1988 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
May 7, 1988 - December 16, 1999
LEHMAN BROTHERS INC.
November 22, 1983 - May 21, 1986
SALOMON BROTHERS 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
Series 8
Date: 3/11/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TFS DERIVATIVES LLC
CRD#: 30395 / SEC#: , 8-44903
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADITION AMERICA HOLDINGS INC. ("TAH") | OWNER | |
| BRISEBOIS, FRANCOIS | MANAGER | 6613329 |
| LEIBOWITZ, MICHAEL SAUL MR. | MANAGER | |
| MEHAN, JEFFREY LELAND | PRESIDENT | 1053445 |
| MEROLA, DAVID SCOTT | CHIEF COMPLIANCE OFFICER | 3154976 |
| RICCIARDI, JUDITH ANN | PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER | 2260346 |
| ROSENSHEIN, LARRY NMN | MANAGER & COO | |
| WOSTYN, WILLIAM PIERRE | MANAGER | 5608164 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
