John Liotti
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 Liotti was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2000. John had worked at 4 firms and has passed the Series 25 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2015 - February 23, 2016
GLOBAL DIRECT EQUITIES, LLC
December 29, 2010 - August 27, 2015
DOYLE, INC.
January 2, 2008 - January 3, 2011
MICHAEL P. O'KEEFE INC.
January 24, 2000 - January 3, 2008
THOMAS WEISEL PARTNERS LLC
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 25
Date: 3/16/2000
NYSE Trading Assistant ExaminationCurrent Firm
GLOBAL DIRECT EQUITIES, LLC
CRD#: 124514 / SEC#: , 8-65689
Contact information
Documents
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.
