John K. Tarleton
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 Kermit Tarleton, who also goes by John K Tarleton, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 10 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 10, Series 14, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2022 - March 3, 2025
UBS SECURITIES LLC
February 23, 2016 - June 8, 2021
CITIGROUP DERIVATIVES MARKETS INC.
December 12, 2014 - November 29, 2021
CITIGROUP GLOBAL MARKETS INC.
February 10, 2009 - July 27, 2009
CITIGROUP GLOBAL MARKETS INC.
January 19, 2007 - July 29, 2008
LAVA TRADING, INC.
January 5, 2006 - January 27, 2006
HALEN CAPITAL
March 22, 2004 - May 18, 2015
LAVAFLOW, INC.
March 3, 2004 - May 3, 2004
NEXTRADE
December 10, 2002 - February 4, 2004
LAVAFLOW, INC.
April 1, 2002 - February 4, 2004
NEXTRADE
September 1, 1998 - March 5, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 13, 1988 - November 12, 1988
KAVANAUGH SECURITIES, INC.
February 26, 1987 - September 1, 1988
HOWARD, WEIL, LABOUISSE, FRIEDRICHS 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/1/2002
Limited Representative-Equity Trader ExamCurrent Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| 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.
