John A. Orlando
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 Anthony Orlando, who also goes by John Orlando, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 13 firms and has passed the Series 63, Series 62, SIE, 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
November 5, 2019 - February 17, 2023
SW FINANCIAL
September 20, 2019 - October 29, 2019
JOSEPH GUNNAR & CO. LLC
August 4, 2016 - September 24, 2019
WESTPARK CAPITAL, INC.
March 23, 2015 - August 8, 2016
NEWPORT COAST SECURITIES, INC.
August 17, 2009 - March 30, 2015
STONEX SECURITIES INC.
November 2, 2005 - August 17, 2009
EMMETT A LARKIN COMPANY, INC.
November 14, 2000 - November 15, 2005
SALOMON GREY FINANCIAL CORPORATION
April 6, 1994 - November 15, 2000
BARRON CHASE SECURITIES, INC.
March 12, 1994 - April 11, 1994
R.K. STEELE
November 8, 1993 - January 29, 1994
M. J. WHITMAN, INC.
August 26, 1993 - October 18, 1993
DAIWA CAPITAL MARKETS AMERICA INC.
August 27, 1991 - August 26, 1993
BNP PARIBAS PRIME BROKERAGE, INC.
December 19, 1989 - September 26, 1990
H.J. MEYERS & CO., 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 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationCurrent Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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.
