John W. Cacciapuoti
Professional summary
John William Cacciapuoti, who also goes by John William Cacciapuoti, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Staten Island, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1987. John has worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John William Cacciapuoti's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 9, 2017 - Present
NYLIFE SECURITIES LLC
Office #1: 1000 South Avenue Suite 101, Staten Island, NY 10314March 25, 2017 - November 2, 2017
MML INVESTORS SERVICES, LLC
February 9, 2010 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
July 22, 2004 - July 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 19, 1998 - July 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 1987 - April 8, 1998
BROADCORT CAPITAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/9/2024)
(1/5/2018)
(11/14/2017)
(11/9/2017)
(4/2/2024)
(2/9/2024)
Exams
Series 55
Date: 1/21/2003
Limited Representative-Equity Trader ExamFINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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