John R. Sequino
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 Robert Sequino, who also goes by John Sequino, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 11 firms and has passed the Series 63, Series 6TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2022 - July 8, 2024
GRADIENT SECURITIES, LLC
December 1, 2009 - July 27, 2011
MACQUARIE CAPITAL (USA) INC.
May 26, 2009 - December 1, 2009
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
November 14, 2006 - April 3, 2009
MUFG SECURITIES AMERICAS INC.
June 24, 2003 - October 30, 2006
MIZUHO SECURITIES USA LLC
July 29, 1999 - April 2, 2003
UBS SECURITIES LLC
January 4, 1999 - March 16, 1999
NATIXIS SECURITIES AMERICAS LLC
June 20, 1997 - October 19, 1998
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
December 8, 1995 - June 4, 1997
CASPIAN SECURITIES INCORPORATED
September 7, 1994 - October 25, 1995
NOMURA SECURITIES INTERNATIONAL, INC.
February 23, 1988 - September 7, 1994
ING BARING (U.S.) SECURITIES, INC.
Primary Firm SEC Registration
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
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 6TO
Date: 1/26/2022
Investment Company Products/Variable Contracts Representative ExaminationSeries 55
Date: 4/1/2008
Limited Representative-Equity Trader ExamCurrent Firm
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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