John M. Carparelli
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 Michael Carparelli was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 10 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
September 12, 2006 - October 9, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
January 4, 2002 - October 11, 2004
POND EQUITIES
April 4, 1996 - November 12, 2001
GILFORD SECURITIES INCORPORATED
January 28, 1995 - April 9, 1996
UBS FINANCIAL SERVICES INC.
December 18, 1992 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
December 19, 1990 - December 5, 1992
TRADE MANAGE CAPITAL, INC.
March 17, 1989 - September 24, 1990
MORGAN STANLEY DW INC.
September 27, 1988 - March 10, 1989
INVESTORS CENTER, INC.
March 24, 1988 - May 3, 1988
BEURET & COMPANY, LTD.
March 24, 1988 - September 22, 1988
D. H. BLAIR & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
