John J. Messina
Professional summary
John Joseph Messina JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, John had worked at 2 firms, which includes WILLIAM SCOTT & CO. L.L.C., A.S. GOLDMEN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 1997 - October 25, 2000
WILLIAM SCOTT & CO. L.L.C.
April 20, 1992 - April 30, 1997
A.S. GOLDMEN & 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
Current Firm
WILLIAM SCOTT & CO. L.L.C.
CRD#: 14979 / SEC#: , 8-32265
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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.
