John L. Ivarone
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 Louis Ivarone was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 17 firms and has passed the Series 63, Series 55 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
April 3, 2012 - June 13, 2012
THE VERTICAL GROUP
June 1, 2011 - December 19, 2011
NEWEDGE USA, LLC
January 7, 2011 - May 31, 2011
LEGEND SECURITIES, INC.
November 8, 2010 - December 7, 2010
ROCHDALE SECURITIES LLC
November 16, 2009 - April 14, 2010
TP ICAP GLOBAL MARKETS AMERICAS LLC
May 15, 2008 - November 18, 2009
BAY CREST PARTNERS, LLC
February 1, 2006 - February 13, 2008
DEUTSCHE BANK SECURITIES INC.
September 16, 2004 - January 30, 2006
DEUTSCHE IXE, LLC
January 8, 2003 - August 31, 2004
CANTOR FITZGERALD & CO.
December 6, 2000 - November 25, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 10, 2000 - November 9, 2000
CREDIT SUISSE SECURITIES (USA) LLC
May 15, 2000 - October 10, 2000
PERSHING LLC
September 10, 1997 - May 3, 2000
ROBERT FLEMING INC.
February 3, 1994 - October 25, 1996
FAM DISTRIBUTORS, INC.
May 5, 1989 - August 11, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 5, 1989 - August 11, 1989
PRUCO SECURITIES, LLC.
January 24, 1989 - March 9, 1989
PRINCETON SECURITIES CORPORATION
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: 5/1/2001
Limited Representative-Equity Trader ExamCurrent Firm
THE VERTICAL GROUP
CRD#: 104353 / SEC#: , 8-52814
Contact information
FINRA licenses (30 States and Territories)
Documents
Disclosures
| Regulatory Event | 13 |
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.
