John L. Polizzano
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 Leonard Polizzano was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 5 firms and has passed the Series 63, SIE, Series 55 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
January 14, 2014 - July 7, 2015
VANDHAM SECURITIES CORP.
June 1, 2006 - January 10, 2014
INSTINET, LLC
August 1, 2000 - June 1, 2006
INSTINET, LLC
July 20, 1999 - August 1, 2000
REUTERS C CORPORATION
January 24, 1989 - April 15, 1999
GOLDMAN SACHS AUSTRALIA 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 55
Date: 11/10/2000
Limited Representative-Equity Trader ExamCurrent Firm
VANDHAM SECURITIES CORP.
CRD#: 26258 / SEC#: , 8-42448
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
Red Flags
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