John Alessi
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 Alessi, who also goes by John VIncent Alessi, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 5 firms and has passed the Series 63, SIE 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
August 22, 2008 - May 16, 2018
TULLETT PREBON FINANCIAL SERVICES LLC
August 18, 1997 - October 9, 2008
TULLETT LIBERTY BROKERAGE INC.
July 25, 1987 - August 27, 1997
ICAP SECURITIES USA LLC
February 24, 1984 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
February 23, 1984 - December 21, 1988
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TULLETT PREBON FINANCIAL SERVICES LLC
CRD#: 28196 / SEC#: , 8-43487
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 17 |
Red Flags
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