John A. Tartaglia
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 Andrew Tartaglia was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 7 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
November 17, 2009 - April 8, 2015
AURIGA USA, LLC
October 6, 2009 - December 23, 2016
HCFP/CAPITAL MARKETS LLC
February 6, 2003 - July 31, 2008
TERWIN CAPITAL, LLC
June 6, 2000 - November 20, 2002
MERRILL LYNCH GOVERNMENT SECURITIES INC.
May 12, 1998 - November 20, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 25, 1992 - January 26, 1998
PRAGER & CO., LLC
February 23, 1989 - March 1, 1991
PERSHING LLC
February 26, 1987 - September 2, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
AURIGA USA, LLC
CRD#: 121731 / SEC#: , 8-65441
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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