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John Edward Niblo

CRD# 1582279·Registered 1989 - 2016
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Edward Niblo was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1989 - 2016. John had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

30 years in the financial services industry

Current & Past Employments

Past

CASTLE PLACEMENT, LLCPast·CRD# 189511
BD
New York, NY
August 17, 2016 - September 1, 2016
HAPOALIM SECURITIES USA, INC.Past·CRD# 266
BD
New York, NY
October 17, 2013 - December 3, 2013
KNIGHT LIBERTAS LLCPast·CRD# 124790
BD
Greenwich, CT
November 4, 2008 - October 21, 2010
UBS SECURITIES LLCPast·CRD# 7654
BD
New York, NY
September 12, 2001 - June 6, 2006
J.P. MORGAN SECURITIES LLCPast·CRD# 79
BD
New York, NY
February 15, 1996 - April 11, 2001
CHASE SECURITIES, INC.Past·CRD# 10793
BD
New York, MD
May 17, 1994 - May 8, 1995
CITIGROUP GLOBAL MARKETS INC.Past·CRD# 7059
BD
New York, NY
November 21, 1989 - April 14, 1994

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Current Firm

CP
CASTLE PLACEMENT, LLC

CASTLE PLACEMENT, LLC

CRD#: 189511 / SEC#: 8-69612
BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Contact Information

Main Address

180 Boardwalk - 625, Long Beach, NY 11561

Mailing Address

1460 Broadway, New York, NY 10036

Phone Number

(212) 418-1180

Established

Delaware since 03/13/2015

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CASTLE PLACEMENT GROUP LLCMEMBER—
BEATON, DANIEL STEWARTFINOP4240769
LUFTIG, RICHARD STEVENCCO, EXEC REP, AML SUPERVISOR2391290
MARGOLIS, KENNETH HARRYMANAGER, HOME OFFICE SUPERVISOR2230861

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2016About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Sep 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 2013About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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