John M. Florio
Professional summary
John Michael Florio, who also goes by John M Florio, is a registered financial professional currently at TCBI SECURITIES, INC. located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1995. John has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Michael Florio's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 3, 2022 - Present
TCBI SECURITIES, INC.
Office #1: 575 Fifth Avenue, New York, NY 10017November 15, 2017 - October 6, 2020
MACQUARIE CAPITAL (USA) INC.
September 26, 2013 - May 13, 2015
BREAN CAPITAL, LLC
September 16, 2009 - August 6, 2013
MACQUARIE CAPITAL (USA) INC.
September 22, 2008 - June 11, 2009
BARCLAYS CAPITAL INC.
April 19, 2004 - September 22, 2008
LEHMAN BROTHERS INC.
November 3, 2000 - April 19, 2004
CREDIT SUISSE SECURITIES (USA) LLC
March 27, 2000 - September 24, 2002
PERSHING LLC
June 7, 1999 - April 7, 2000
DEUTSCHE BANK SECURITIES INC.
July 11, 1995 - June 7, 1999
DB ALEX. BROWN LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/31/2022)
(8/30/2022)
(8/26/2022)
(8/29/2022)
(8/3/2022)
(8/29/2022)
(8/4/2022)
(8/30/2022)
(9/1/2022)
(9/8/2022)
(9/14/2022)
(9/1/2022)
(8/26/2022)
(8/29/2022)
(8/26/2022)
(8/11/2022)
(8/4/2022)
(8/29/2022)
(8/30/2022)
(8/3/2022)
(8/4/2022)
(8/3/2022)
(8/26/2022)
(8/26/2022)
(8/29/2022)
(8/3/2022)
(8/3/2022)
(8/4/2022)
(8/30/2022)
(8/30/2022)
(8/26/2022)
(8/29/2022)
(10/5/2022)
(8/3/2022)
(8/29/2022)
(8/7/2022)
(8/3/2022)
(8/4/2022)
(8/5/2022)
(8/11/2022)
(8/9/2022)
(8/29/2022)
(9/7/2022)
(8/26/2022)
(8/4/2022)
(8/4/2022)
(8/26/2022)
(8/31/2022)
(9/1/2022)
(8/29/2022)
(8/29/2022)
(8/4/2022)
(8/15/2022)
Exams
FINRA
Current Firm
TCBI SECURITIES, INC.
CRD#: 313304 / SEC#: , 8-70682
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEXAS CAPITAL BANCSHARES, INC. | OWNER | |
| ALVARADO, ANNA MARIA | DIRECTOR | 4433966 |
| COLPITTS, JOEL BRIAN | PRINCIPAL FINANCIAL OFFICER AND FIN/OP | 2376942 |
| GENYK, STEVEN | MUNICIPAL SECURITIES PRINCIPAL | 2324120 |
| HOLMES, ROBERT C | DIRECTOR | 2948416 |
| HOVERMAN, DANIEL STEPHENS | DIRECTOR, PRESIDENT | 5281289 |
| OMAN, DAVID | DIRECTOR | 5685397 |
| RIVERA, JASON | CHIEF COMPLIANCE OFFICER | 5010925 |
| SCURLOCK, JOHN MATTHEW | DIRECTOR | 7521986 |
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.
