John F. Elliott
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 Fleming Elliott was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 21, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - January 3, 2021
GTS SECURITIES LLC
September 2, 2009 - January 2, 2018
TRADEMAS INC.
January 8, 2009 - August 27, 2009
DEUTSCHE BANK SECURITIES INC.
October 1, 2000 - August 31, 2007
BANC OF AMERICA SPECIALIST, INC.
February 2, 1999 - August 24, 2000
APEX CLEARING CORPORATION
August 2, 1996 - June 23, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 20, 1996 - May 28, 1996
WSM HOLDINGS, L.L.C.
March 23, 1994 - June 21, 1994
HANOVER, STERLING & COMPANY LTD.
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: 2/7/2024
General Securities Representative ExaminationSeries 21
Date: 10/10/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 11/17/1999
NYSE Trading Assistant ExaminationCurrent Firm
GTS SECURITIES LLC
CRD#: 149224 / SEC#: , 8-68126
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GTS FINANCIAL LLC | HOLDING COMPANY/CLASS A MEMBER | |
| GILLETTE, CHARLES P | TRADING AND MARKETS CHIEF COMPLIANCE OFFICER | 3174027 |
| NAZEM, DARIUSH | CHIEF OPERATING OFFICER | 4930821 |
| ROMANELLO, PATRICK JOSEPH | CORE BROKER DEALER CHIEF COMPLIANCE OFFICER | 5378090 |
| RUBENSTEIN, ARI M | CO-FOUNDER AND CHIEF EXECUTIVE OFFICER | 4134798 |
| TIRIOLO, CHRISTIAN JOHN | FINOP, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER | 3063877 |
Disclosures
| Regulatory Event | 38 |
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.
