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John Adam Sitty

CRD# 2338502·Registered 1993 - 2018
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Adam Sitty, who also goes by Jack Sitty, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1993 - 2018. 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.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jack Sitty

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

33 years in the financial services industry

Current & Past Employments

EZE CASTLE TRANSACTION SERVICES LLC·CRD# 132246
BD
Waltham, MA
April 10, 2013 - August 3, 2018
COWEN EXECUTION SERVICES LLC·CRD# 35693
BD
New York, NY
August 2, 2011 - April 5, 2013
BARCLAYS CAPITAL INC.·CRD# 19714
BD
New York, NY
September 22, 2008 - June 27, 2011
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
March 9, 2006 - September 22, 2008
GOLDMAN SACHS EXECUTION & CLEARING, L.P.·CRD# 3466
BD
New York, NY
December 1, 1999 - February 24, 2006
BNY INVESTMENT CENTER INC.·CRD# 47683
BD
New York, NY
October 8, 1999 - February 3, 2000
COWEN EXECUTION SERVICES LLC·CRD# 35693
BD
New York, NY
July 1, 1998 - October 20, 1999
BNY BROKERAGE, INC.·CRD# 17481
BD
New York, NY
May 3, 1996 - July 1, 1998
FIRST UNION BROKERAGE SERVICES, INC.·CRD# 8112
BD
Charlotte, NC
January 1, 1996 - April 10, 1996
FIRST FIDELITY BROKERS, INC.·CRD# 15225
BD
Newark, NJ
June 19, 1995 - January 1, 1996
PERSHING LLC·CRD# 7560
BD
Jersey City, NJ
October 26, 1993 - May 23, 1995

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Current Firm

EC
EZE CASTLE TRANSACTION SERVICES LLC

EZE CASTLE TRANSACTION SERVICES LLC | EZE CASTLE TRANSACTION SERVICES, INC.

CRD#: 132246 / SEC#: 8-66577
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)

Contact Information

Main Address

500 Totten Pond Road 2nd Floor, Waltham, MA, 02451

Mailing Address

500 Totten Pond Road 2nd Floor, Waltham, MA, 02451

Phone Number

(617) 574-5459

Established

Delaware since 10/02/2006

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (3 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
EZE CASTLE SOFTWARE LLCMEMBER—
DITTA, DAVID VMANAGER AND EXECUTIVE MANAGING DIRECTOR3184921
DOHERTY, JOSEPH MICHAELPRESIDENT4895292
DOHERTY, JOSEPH MICHAELMANAGER AND MANAGING DIRECTOR4895292
DOHERTY, JOSEPH MICHAELCHIEF COMPLIANCE OFFICER4895292
INMAN, ANDREW DONALDFINOP6665783

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1993About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Aug 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Apr 2002About the Series 3 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jun 2001

Series 7 — General Securities Representative Examination

Passed Oct 1993About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 2000About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Dec 1995About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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