John A. Gagliano
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 Gagliano was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2015 - August 18, 2015
BLUEROCK CAPITAL MARKETS LLC
May 22, 2014 - February 13, 2015
ICAPITAL MARKETS LLC
January 26, 2009 - May 3, 2013
FORESIDE FUNDS DISTRIBUTORS LLC
September 16, 2008 - May 20, 2014
WHV INVESTMENTS, INC.
March 14, 2001 - July 26, 2005
ALLIANCEBERNSTEIN INVESTMENTS, INC.
June 18, 1997 - April 2, 2001
UBS FINANCIAL SERVICES INC.
September 29, 1995 - April 2, 1997
UBS ASSET MANAGEMENT (US) INC.
April 8, 1992 - August 31, 1995
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BLUEROCK CAPITAL MARKETS LLC
CRD#: 136974 / SEC#: , 8-67058
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
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.
