John P. Sergio
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 Peter Sergio was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 9, Series 10, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2019 - January 31, 2022
FINPOSTFIN LLC
September 25, 2002 - September 26, 2024
MAXIM GROUP LLC
October 29, 1999 - October 25, 2002
HAPOALIM SECURITIES USA, INC.
February 16, 1994 - October 29, 1999
ROYCE INVESTMENT GROUP, INC.
February 17, 1988 - September 12, 1990
LEHMAN BROTHERS INC.
May 7, 1986 - June 26, 1986
NORBAY SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
FINPOSTFIN LLC
CRD#: 297463 / SEC#: , 8-70141
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
