John C. Riina
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 Charles Riina was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 15 firms and has passed the Series 63, Series 66, SIE, Series 7 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
March 30, 2018 - July 17, 2024
T. ROWE PRICE INVESTMENT SERVICES, INC.
March 15, 2018 - October 2, 2018
T. ROWE PRICE ADVISORY SERVICES, INC.
March 28, 2016 - September 1, 2017
PINNACLE ADVISORY GROUP, INC.
October 11, 2013 - August 19, 2015
PSA EQUITIES, INC.
October 10, 2013 - August 19, 2015
PSA FINANCIAL ADVISORS INC
March 24, 2009 - December 31, 2011
FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLC
March 24, 2009 - December 31, 2011
FRANKLIN DISTRIBUTORS, LLC
February 21, 2006 - December 10, 2007
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - December 10, 2007
CITIGROUP GLOBAL MARKETS INC.
September 15, 2001 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
March 13, 2000 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
November 8, 1996 - September 15, 2001
HOWARD WEIL INCORPORATED
March 30, 1994 - April 27, 1995
ESSEX NATIONAL SECURITIES, LLC
May 29, 1992 - January 13, 1994
CETERA WEALTH SERVICES, LLC
June 11, 1990 - November 19, 1991
THE HOUSE OF SECURITIES COMPANY
February 25, 1985 - June 30, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 21, 1984 - February 28, 1985
BAKER, WATTS & CO., 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
Current Firm
T. ROWE PRICE INVESTMENT SERVICES, INC.
CRD#: 8348 / SEC#: , 8-25130
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| T. ROWE PRICE ASSOCIATES, INC. | SHAREHOLDER | |
| BROWN, ANNE WHITESCARVER | VICE PRESIDENT/DIRECTOR | 2396529 |
| COYNE, TIMOTHY JOHN | DIRECTOR | 2096849 |
| HERR, DAVID J | VICE PRESIDENT/DIRECTOR | 7659903 |
| KORENMAN, PHILLIP | PRESIDENT/DIRECTOR/CHAIRMAN OF THE BOARD | 4531831 |
| MUMFORD, STEPHANIE PETERS | VICE PRESIDENT/CCO | 2725261 |
| NEWMAN, CHRISTOPHER CUDDY | VICE PRESIDENT/DIRECTOR | 2037516 |
| NYCE, BRITTON | VICE PRESIDENT/CONTROLLER | 7313600 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 3 |
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.
