John J. Liselli
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 Joseph Liselli was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 12 firms and has passed the Series 63, 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
July 12, 2001 - January 6, 2003
CARLIN EQUITIES, LLC
October 5, 1998 - July 12, 2001
ON-SITE TRADING, INC.
April 8, 1996 - April 28, 1997
MEYERS POLLOCK ROBBINS, INC.
December 22, 1993 - December 15, 1995
SMITH, BENTON & HUGHES, INC.
June 4, 1992 - November 17, 1993
FIRST MONTAUK SECURITIES CORP.
September 11, 1989 - June 24, 1992
A.J. MICHAELS & CO., LTD.
June 27, 1989 - August 29, 1989
STRATTON OAKMONT INC.
June 21, 1989 - September 8, 1989
STRATTON SECURITIES, INC.
May 24, 1989 - June 14, 1989
BARRETT DAY SECURITIES, INC.
April 18, 1989 - May 13, 1989
U.S. ADVISORS, INC.
March 29, 1989 - May 5, 1989
WELLSHIRE SECURITIES, INC.
November 23, 1988 - March 10, 1989
INVESTORS CENTER, 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
Series 55
Date: 12/7/1999
Limited Representative-Equity Trader ExamCurrent Firm
CARLIN EQUITIES, LLC
CRD#: 31295 / SEC#: , 8-40963
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARLIN GROUP LLC | OWNER OF CARLIN EQUITIES LLC | |
| BERNSTEIN, SAMUEL H | CHIEF STRATEGIC OFFICER | 2183676 |
| FEIG, ROBERT | VICE PRESIDENT, SALES | 871895 |
| FROMMER, JEREMY PHILLIP | PRESIDENT | 2099159 |
| FROMMER, JEREMY PHILLIP | CHIEF EXECUTIVE OFFICER | 2099159 |
| PORTNOI, ALAN SCOTT | MANAGING DIRECTOR, INSTITUTIONAL SALES | 1537825 |
| SHAH, UPENDRA KANTILAL | CHIEF INFORMATION OFFICER | |
| SHEAR, RONALD HENRY | CHAIRMAN | 420846 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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