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JC

John A. Comey

Some features on this profile are disabled
CRD#: 1665724
JC

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 Aloyisius Comey, who also goes by John Comey, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1987. John had worked at 8 firms and has passed the Series 63 and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Comey

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

October 1, 2015 - January 12, 2016

DINOSAUR FINANCIAL GROUP, L.L.C

BD
CRD#: 104446
NEW YORK, NY
Past

June 1, 2012 - August 19, 2015

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

January 24, 2007 - June 1, 2012

CHAPDELAINE TULLETT PREBON, LLC

BD
CRD#: 7017
NEW YORK, NY
Past

November 13, 2006 - January 11, 2007

CHAPDELAINE CORPORATE SECURITIES & CO

BD
CRD#: 23741
NEW YORK, NY
Past

May 19, 2003 - October 18, 2006

CHAPDELAINE CORPORATE SECURITIES & CO

BD
CRD#: 23741
NEW YORK, NY
Past

July 12, 2002 - May 22, 2003

REDWOOD BROKERAGE LLC

BD
CRD#: 39416
NEW YORK, NY
Past

October 19, 1999 - December 6, 2000

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

February 12, 1998 - July 28, 1999

INTERCAPITAL GOVERNMENT SECURITIES INC.

BD
CRD#: 19710
NEW YORK, NY
Past

May 31, 1991 - October 8, 1997

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

October 25, 1990 - January 10, 1991

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

July 25, 1987 - June 25, 1990

ICAP SECURITIES USA LLC

BD
CRD#: 19739
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: 1/4/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/12/2016
Securities Industry Essentials Examination

Current Firm

DF
DINOSAUR FINANCIAL GROUP, L.L.C
APB FINANCIAL GROUP | EAGLE BROKERS | DINOSAUR SECURITIES, L.L.C. | DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446 / SEC#: , 8-52908

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information

Main Address
33 Whitehall St 1102, New York, NY 10004
Mailing Address
33 Whitehall St 1102, New York, NY 10004
Phone number
(212) 448-9944
Established
Delaware since 05/11/2000
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#
DINOSAUR GROUP HOLDINGS, LLCPARENT
GIORGIO, ANTHONY JOSEPHCCO/AMLCO5489336
GROSSMAN, GLENN ANDREWPRESIDENT/CEO/MANAGING MEMBER1657276
SULEYMANOV, ZAKHARCFO/FINOP4927317

Disclosures

Regulatory Event5
Arbitration1

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

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

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