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JN

John E. Niblo

Some features on this profile are disabled
CRD#: 1582279
JN

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 Edward Niblo was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1989. John had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 17, 2016 - September 1, 2016

CASTLE PLACEMENT, LLC

BD
CRD#: 189511
New York, NY
Past

October 17, 2013 - December 3, 2013

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

November 4, 2008 - October 21, 2010

KNIGHT LIBERTAS LLC

BD
CRD#: 124790
GREENWICH, CT
Past

September 12, 2001 - June 6, 2006

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

February 15, 1996 - April 11, 2001

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

May 17, 1994 - May 8, 1995

CHASE SECURITIES, INC.

BD
CRD#: 10793
NEW YORK, MD
Past

November 21, 1989 - April 14, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/13/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/1/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/2013
General Securities Representative Examination

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)
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Contact information

Main Address
527 Split Rock Rd Oyster Bay Cove, Syosset, NY 11791
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
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

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.

Company Information

CASTLE PLACEMENT, LLC

CRD#: 189511

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