John S. Falcetta
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 Samuel Falcetta was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 8 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2019 - December 20, 2023
PURSHE KAPLAN STERLING INVESTMENTS
November 19, 1989 - August 5, 2019
OSAIC WEALTH, INC.
October 5, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 12, 1974 - October 11, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
October 17, 1973 - August 18, 1974
SFC EQUITIES INC.
November 17, 1972 - December 3, 1973
AMERIPRISE FINANCIAL SERVICES, LLC
November 13, 1972 - December 3, 1973
AMERICAN EXPRESS FINANCIAL CORPORATION
November 13, 1972 - December 3, 1973
IDS LIFE INSURANCE COMPANY
July 24, 1969 - January 17, 1971
FINANCIAL SERVICE CORPORATION OF AMERICA
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 7/17/1969
Registered Representative ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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