John N. Caladim
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 Nicholas Caladim 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 65, Series 63, 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
August 7, 2014 - November 7, 2014
CNBS
July 31, 2014 - November 7, 2014
CNBS
March 18, 2013 - June 30, 2014
BREAN CAPITAL, LLC
April 13, 2010 - March 22, 2013
FIRST EMPIRE ASSET MANAGEMENT, INC
April 9, 2010 - March 22, 2013
FIRST EMPIRE SECURITIES, INC.
November 5, 2008 - March 22, 2010
CU INVESTMENT SOLUTIONS LLC
February 21, 2008 - March 22, 2010
CU INVESTMENT SOLUTIONS LLC
January 4, 1995 - December 31, 1998
MOMENTUM INDEPENDENT NETWORK INC.
August 3, 1992 - March 8, 1993
MCGINN, SMITH & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CNBS
CRD#: 24153 / SEC#: 801-37558, 8-40985
Contact information
Disclosures
| Regulatory Event | 2 |
Red Flags
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