John Sanfilippo
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 Sanfilippo, who also goes by John Sanfillippo, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2009. John had worked at 1 firm and has passed the SIE, Series 7 and Series 7A exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2009 - August 11, 2015
DOUGALL & ASSOCIATES 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 7A
Date: 5/25/1997
Floor Broker Representative ExamCurrent Firm
DOUGALL & ASSOCIATES INC.
CRD#: 42324 / SEC#: , 8-49806
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
