John T. Longley
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 Turnbull Longley was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2012 - September 18, 2012
BLACKROCK INVESTMENTS, LLC
April 7, 2009 - September 18, 2012
BLACKROCK FUND ADVISORS
April 3, 2009 - December 31, 2009
BLACKROCK EXECUTION SERVICES
April 3, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
May 10, 1999 - April 6, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - April 6, 2009
CITIGROUP GLOBAL MARKETS INC.
April 24, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
December 5, 1989 - April 7, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 11, 1988 - December 13, 1989
KIDDER, PEABODY & CO. INCORPORATED
January 20, 1988 - May 17, 1988
TUCKER ANTHONY INCORPORATED
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
Series 8
Date: 1/27/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BLACKROCK INVESTMENTS, LLC
CRD#: 38642 / SEC#: , 8-48436
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACKROCK FINANCIAL MANAGEMENT, INC | SOLE SHAREHOLDER | 107105 |
| DEVICO, JOSEPH GEORGE | MANAGER | 2808563 |
| HEROLD, MEREDITH L | MANAGER | 4792340 |
| MARCUS, ZACHARY SETH | CHIEF FINANCIAL OFFICER AND FINOP | 7040433 |
| MARO, JONATHAN MARTIN | CHIEF EXECUTIVE OFFICER AND MANAGER | 6476640 |
| MEADE, CHRISTOPHER JOSEPH | CHIEF LEGAL OFFICER | 6728448 |
| ROHE, DOMINIK | MANAGER | 3275040 |
| ROSTA, GREGORY MATTHEW | CHIEF COMPLIANCE OFFICER | 5193482 |
| RZOMP, CYNTHIA SUEN-WAH | CHIEF OPERATING OFFICER | 5221316 |
| VILLACORTA, ROLAND ESTEBAN | MANAGER | 2566073 |
Disclosures
| Regulatory Event | 2 |
| 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.
