John J. Nepil
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 Joseph Nepil was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2016 - July 30, 2021
LASALLE ST SECURITIES, L.L.C.
June 30, 1999 - September 20, 2016
CAPITAL SECURITIES INVESTMENT CORPORATION
May 28, 1999 - June 21, 1999
CAPITAL SECURITIES INVESTMENT CORPORATION
November 30, 1994 - May 28, 1999
SECURITIES AMERICA, INC.
March 9, 1988 - November 18, 1994
GRIFFIN FINANCIAL SERVICES
September 9, 1986 - February 23, 1988
FIRST OF MICHIGAN CORPORATION
December 23, 1985 - September 4, 1986
MACGREGOR FINANCIAL SECURITIES, 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
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| Bond | 1 |
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.
