John C. Conti
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 Carmine Conti JR, who also goes by John C Conti Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 4 firms and has passed the Series 65, Series 63, Series 16, Series 5, Series 15, Series 7 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
June 16, 2004 - December 31, 2020
SEABRIDGE INVESTMENT ADVISORS LLC
May 1, 2001 - January 4, 2002
J.P. MORGAN SECURITIES INC.
December 21, 1993 - May 1, 2001
JPMSI
May 9, 1986 - December 10, 1993
FIRST MANHATTAN SECURITIES LLC
Primary Firm SEC Registration
SEABRIDGE INVESTMENT ADVISORS LLC
CRD#: 108681 / SEC#: 801-55009
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 5
Date: 6/13/1984
Interest Rate Options ExaminationSeries 15
Date: 6/12/1984
Foreign Currency Options ExaminationCurrent Firm
SEABRIDGE INVESTMENT ADVISORS LLC
CRD#: 108681 / SEC#: 801-55009
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 482 |
| AUM (Assets Under Management) | $ 771,222,213 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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