John E. Tobin
Professional summary
John Edward Tobin is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Roxbury, Massachusetts.
John is registered as a RR (Registered Representative) and started their career in finance in 1993. John has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Edward Tobin's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2020 - Present
VANDERBILT SECURITIES, LLC
January 6, 2009 - March 17, 2020
CANTELLA & CO., INC.
March 3, 1997 - December 31, 2008
KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.
February 6, 1995 - February 25, 1997
BARRON CHASE SECURITIES, INC.
October 6, 1993 - January 10, 1995
GRUNTAL & CO., L.L.C.
April 30, 1993 - October 8, 1993
DICKINSON & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/6/2020)
(3/6/2020)
(3/6/2020)
(3/6/2020)
Exams
FINRA
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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