John L. Atorino
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 Louis Atorino was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 7 firms and has passed the Series 63 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
October 13, 2009 - April 5, 2013
ICAP SECURITIES USA LLC
September 14, 2006 - September 27, 2006
TULLETT LIBERTY BROKERAGE INC.
May 18, 1995 - December 5, 1996
LIBERTY BROKERS
April 29, 1991 - December 1, 2008
TULLETT PREBON FINANCIAL SERVICES LLC
January 1, 1991 - May 11, 1991
FINANCIAL SQUARE PARTNERS
August 12, 1987 - October 10, 1990
DEALERWEB LLC
May 7, 1987 - October 10, 1990
HILLIARD FARBER SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ICAP SECURITIES USA LLC
CRD#: 19739 / SEC#: , 8-37947
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICAP GLOBAL BROKING INC. | SOLE MEMBER | |
| BERNARDO, SHAWN FRANCIS | CEO | 2513376 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GOULET, STEPHEN PAUL | SENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY | 4769810 |
| MURPHY, GREGORY FRANCIS | CHIEF OPERATING OFFICER | 1483320 |
| PEZEU, CHRISTIAN JEAN MICHEL | PRINCIPAL FINANCIAL OFFICER | 5661987 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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