John E. Brigandi
Professional summary
John Edward Brigandi was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, John had worked at 19 firms, which includes KERN SUSLOW SECURITIES INC., SOURCE CAPITAL GROUP INC., MERIT CAPITAL ASSOCIATES INC., H.C.WAINWRIGHT & CO. LLC, WINDSOR STREET CAPITAL LP, ROAN CAPITAL PARTNERS L.P., MAGNUM SECURITIES OF NEW YORK INC., LCP CAPITAL CORP., SHAMROCK PARTNERS LTD, LABRANCHE FINANCIAL SERVICES LLC, FIRST SECURITY INVESTMENTS INC., NICHOLS SAFINA LERNER & CO. INC., PRUDENTIAL EQUITY GROUP LLC, GRUNTAL & CO. L.L.C., RODMAN & RENSHAW INC., GREELEY SECURITIES INC., BAIRD PATRICK & CO. INC., STEINBERG & LYMAN, UNIVERSAL SECURITIES OF AMERICA INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2002 - January 26, 2007
KERN, SUSLOW SECURITIES, INC.
December 1, 2001 - December 21, 2001
SOURCE CAPITAL GROUP, INC.
August 30, 2001 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
December 11, 2000 - August 28, 2001
H.C.WAINWRIGHT & CO., LLC
January 18, 2000 - December 11, 2000
WINDSOR STREET CAPITAL, LP
December 16, 1999 - January 18, 2000
ROAN CAPITAL PARTNERS L.P.
November 12, 1999 - December 21, 1999
MAGNUM SECURITIES OF NEW YORK INC.
November 30, 1998 - November 4, 1999
LCP CAPITAL CORP.
October 20, 1998 - December 31, 1998
SHAMROCK PARTNERS, LTD
February 7, 1998 - October 22, 1998
LABRANCHE FINANCIAL SERVICES, LLC
September 8, 1997 - January 2, 1998
FIRST SECURITY INVESTMENTS, INC.
March 23, 1995 - August 6, 1997
NICHOLS, SAFINA, LERNER & CO. INC.
January 18, 1993 - February 17, 1995
PRUDENTIAL EQUITY GROUP, LLC
May 11, 1990 - January 19, 1993
GRUNTAL & CO., L.L.C.
October 10, 1988 - May 30, 1990
RODMAN & RENSHAW INC.
April 5, 1988 - October 12, 1988
GREELEY SECURITIES, INC.
December 10, 1986 - October 16, 1987
BAIRD, PATRICK & CO., INC.
May 23, 1986 - January 7, 1987
STEINBERG & LYMAN
October 30, 1985 - May 21, 1986
UNIVERSAL SECURITIES OF AMERICA, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KERN, SUSLOW SECURITIES, INC.
CRD#: 24755 / SEC#: , 8-41371
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUSLOW, STEPHEN S | VICE PRESIDENT | 440234 |
| HAMILTON, CHRISTOPHER GEORGE | FINOP, PRESIDENT, CCO | |
| ESTATE OF ARTHUR KERN | OWNER |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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