John N. Trotta

FINANCIAL ADVISOR NETWORK

Farmingdale, NY 11735

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CRD#: 1853327

Professional summary

John Nmn Trotta, who also goes by John Trotta, is a registered financial advisor currently at FINANCIAL ADVISOR NETWORK, INC. located in Farmingdale, New York.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. John has worked at 4 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Trotta

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) - RIA

Click below to view John Nmn Trotta's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

July 29, 2021 - Present

FINANCIAL ADVISOR NETWORK, INC.

Office #1: 1111 Route 110 Suite 359, Farmingdale, NY 11735

RIA

CRD#: 125537

Farmingdale, NY

Past

October 2, 1989 - December 31, 1993

CADARET, GRANT & CO., INC.

CRD#: 10641

Past

June 12, 1989 - October 2, 1989

CADARET, GRANT & CO., INC.

CRD#: 16404

Past

August 23, 1988 - June 20, 1989

GLOBAL CAPITAL SECURITIES, INC.

CRD#: 13358

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FINANCIAL ADVISOR NETWORK, INC.

FINANCIAL ADVISOR NETWORK, INC. | TROTTA, JOHN (NMN) | TROTTA, JOHN | JOHN TROTTA, CPA

CRD#: 125537 / SEC#: 801-79944

RIA

Registered Investment Advisory firm - (6/26/2014 Approved)

New York

Registered Investment Advisory firm - (6/27/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(7/29/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/21/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/20/1988

General Securities Representative Examination

Current Firm

FINANCIAL ADVISOR NETWORK, INC.

FINANCIAL ADVISOR NETWORK, INC. | TROTTA, JOHN (NMN) | TROTTA, JOHN | JOHN TROTTA, CPA

CRD#: 125537 / SEC#: 801-79944

RIA

Registered Investment Advisory firm - (6/26/2014 Approved)

New York

Registered Investment Advisory firm - (6/27/2014 Terminated)

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Contact information

Main Address

1111 Route 110 Suite 359, Farmingdale, NY 11735

Mailing Address

Phone number

(631) 226-9046

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A: FIRM BROCHURE & PART 2B BROCHURE SUPPLEMENTS 2025 (2/17/2025)

Regulatory assets under management

Total Number of Accounts	394
AUM (Assets Under Management)	$ 146,000,000

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.

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John N. Trotta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Nmn Trotta's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL ADVISOR NETWORK, INC.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

GLOBAL CAPITAL SECURITIES, INC.

Primary Firm SEC Registration

FINANCIAL ADVISOR NETWORK, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/21/1988

Series 7

Date: 8/20/1988

Current Firm

FINANCIAL ADVISOR NETWORK, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL ADVISOR NETWORK, INC.

TRUST BUT VERIFY

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