John A. Sitty
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 Adam Sitty, who also goes by Jack Sitty, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2013 - August 3, 2018
EZE CASTLE TRANSACTION SERVICES LLC
August 2, 2011 - April 5, 2013
COWEN EXECUTION SERVICES LLC
September 22, 2008 - June 27, 2011
BARCLAYS CAPITAL INC.
March 9, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
December 1, 1999 - February 24, 2006
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
October 8, 1999 - February 3, 2000
BNY INVESTMENT CENTER INC.
July 1, 1998 - October 20, 1999
COWEN EXECUTION SERVICES LLC
May 3, 1996 - July 1, 1998
BNY BROKERAGE, INC.
January 1, 1996 - April 10, 1996
FIRST UNION BROKERAGE SERVICES, INC.
June 19, 1995 - January 1, 1996
FIRST FIDELITY BROKERS, INC.
October 26, 1993 - May 23, 1995
PERSHING LLC
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 55
Date: 6/25/2001
Limited Representative-Equity Trader ExamCurrent Firm
EZE CASTLE TRANSACTION SERVICES LLC
CRD#: 132246 / SEC#: , 8-66577
Contact information
FINRA licenses (3 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.
