John D. Haggerty
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 Devin Haggerty was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 8 firms and has passed the Series 63, Series 7, Series 4 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
February 11, 2011 - May 9, 2013
TP ICAP GLOBAL MARKETS AMERICAS LLC
March 12, 2007 - March 31, 2009
VCM SECURITIES, LLC.
October 27, 2003 - April 7, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
July 29, 2002 - October 10, 2003
ABN AMRO INCORPORATED
July 18, 2002 - August 29, 2002
INTER-DEALER BROKERS LLC
November 2, 1998 - May 3, 2000
INTERCAPITAL INTERNATIONAL INC.
November 21, 1996 - May 3, 2000
INTERCAPITAL SECURITIES, INC.
September 21, 1984 - December 16, 1987
MOSELEY SECURITIES CORPORATION
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
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
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.
