John P. Roffino
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 Paul Roffino, who also goes by Johnny Roffino, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 5 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
August 12, 2024 - March 3, 2025
TRB CAPITAL MARKETS, LLC
September 10, 2021 - September 30, 2024
ESTRADA HINOJOSA & COMPANY, INC.
April 8, 2016 - September 7, 2021
UMB FINANCIAL SERVICES, INC.
September 7, 1990 - December 31, 2004
HILLTOP SECURITIES INC.
September 7, 1990 - December 23, 2015
HILLTOP SECURITIES INC.
September 19, 1986 - September 21, 1990
PRINCIPAL 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
TRB CAPITAL MARKETS, LLC
CRD#: 322618 / SEC#: , 8-70999
Contact information
FINRA licenses (21 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEXAS REGIONAL BANK | OWNER | |
| COULTER, ROBERT VINCENT | CHIEF COMPLIANCE OFFICER/MUNICIPAL SECURITIES PRINCIPAL | 4211707 |
| HEBERT, MICHAEL JAMES | COMPLIANCE OFFICER/VP/SROP | 1229298 |
| HINOJOSA, NOE JR | PRESIDENT - MUNICIPAL BANKING | 1782212 |
| JOHNSON, KRISTY KAY | FINOP | 4470948 |
| TIPPIT, JOHN LEE IV | CEO/PRESIDENT OF CAPITAL MARKETS | 5809446 |
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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