John J. Cioffi

VERTICE CAPITAL PARTNERS

Oxford, OH

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CRD#: 2376946

Professional summary

John Joseph Cioffi III, who also goes by John J Cioffi III, John Joseph Cioffi, John Cioffi III, is a registered financial advisor currently at VERTICE CAPITAL PARTNERS, LLC located in Oxford, Ohio.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. John has worked at 13 firms and has passed the Series 66, Series 63, Series 55, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John J Cioffi Iii | John Joseph Cioffi | John Cioffi Iii

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.

I. OWNER OF REAL ESTATE HOLDING COMPANY PEAK 9 PROPERTIES LLC. ENGAGES IN THE ACQUISITION, DEVELOPMENT, REDEVELOPMENT, AND MANAGEMENT OF INVESTMENT PROPERTY. BEGAN IN MAY OF 2007 AS A SINGLE MEMBER LLC. MAINLY REVIEW FINANCE DETAILS SURROUNDING ACQUISITIONS. DELEGATING MOST OF THE MANAGEMENT AND CONSTRUCTION DUTIES TO OTHERS. SPEND 15 TO 20 HOURS PER MONTH, 2 HOURS PER MONTH IN AGGREGATE DURING MARKET TRADING HOURS. II. 1.FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: SUTHERLAND COMMUNITY HOME OWNERS ASSOCIATION 3.INVESTMENT RELATED: N 4.ADDRESS OF BUSINESS: 11530 FRINGE TREE DR, RICHWOOD, KENTUCKY 41094 5.COMPENSATION FOR ACTIVITY: N 6.POSITION, TITLE, ASSOCIATION: OFFICER, 7.START DATE OF RELATIONSHIP: 40575 8.NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLY 9.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 10.DUTIES: AS VICE PRESIDENT OF THE HOME OWNERS ASSOCIATION, MY TASKS ARE TO ORGANIZE AND GATHER INFORMATION, FINANCIAL AND OTHERWISE RELATED, TO THE COMMUNITY AT LARGE IN ORDER TO RUN A BUDGET AND TO HANDLE MATTERS TO ENSURE THE SUSTAINABLE OPERATION. 3.OWNS A LIMITED LIABILITY CORPORATION THAT HOLDS INTERESTS IN VARIOUS RESTAURANT FRANCHISES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Joseph Cioffi III's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 2, 2014 - Present

VERTICE CAPITAL PARTNERS, LLC

RIA

CRD#: 171889

Oxford, OH

Past

February 7, 2022 - December 12, 2023

CULLEN CIOFFI CAPITAL MANAGEMENT

RIA

CRD#: 318803

Oxford, OH

Past

August 1, 2012 - January 17, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CINCINNATI, OH

Past

August 1, 2012 - January 17, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CINCINNATI, OH

Past

August 19, 2011 - May 14, 2012

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

COVINGTON, KY

Past

April 11, 2011 - May 11, 2012

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

COVINGTON, KY

Past

March 31, 2010 - February 17, 2011

MADISON PROPRIETARY TRADING GROUP, LLC

CRD#: 139818

NEW YORK, NY

Past

June 30, 2009 - October 13, 2009

NORTHEAST SECURITIES, LLC

CRD#: 25996

GLEN HEAD, NY

Past

July 10, 2008 - January 30, 2009

G-2 TRADING,LLC

CRD#: 44018

NEW YORK, NY

Past

February 21, 2008 - April 21, 2008

FIRST NEW YORK SECURITIES L.L.C.

CRD#: 16362

NEW YORK, NY

Past

April 19, 2005 - November 9, 2007

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

December 2, 2004 - April 19, 2005

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

NEW YORK, NY

Past

November 11, 1999 - August 27, 2004

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

August 31, 1993 - June 13, 1997

SEASONGOOD & MAYER

CRD#: 3321

CINCINNATI, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(10/2/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/18/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/13/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 2/7/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/10/1999

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/19/1999

National Commodity Futures Examination

Current Firm

VERTICE CAPITAL PARTNERS, LLC

CIOFFI III, JOHN J | VERTICE CAPITAL PARTNERS, LLC | VERTICE CAPITAL ADVISORS, LLC

CRD#: 171889 / SEC#:

Ohio

Registered Investment Advisory firm - (10/2/2014 Approved)

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Contact information

Main Address

Oxford, OH

Mailing Address

Phone number

(917) 968-8901

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	75
AUM (Assets Under Management)	$ 4,824,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

John J. Cioffi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Joseph Cioffi III's CRS (Customer Relationship Summary).

Certified licenses

Experience

CULLEN CIOFFI CAPITAL MANAGEMENT

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

MADISON PROPRIETARY TRADING GROUP, LLC

NORTHEAST SECURITIES, LLC

G-2 TRADING,LLC

FIRST NEW YORK SECURITIES L.L.C.

J.P. MORGAN SECURITIES LLC

CREDIT AGRICOLE SECURITIES (USA) INC.

CREDIT SUISSE SECURITIES (USA) LLC

SEASONGOOD & MAYER

State Registrations and Notice Filings

Exams

Series 66

Date: 8/18/2011

Series 63

Date: 10/13/1999

Series 55

Date: 2/7/2000

Series 7

Date: 11/10/1999

Series 3

Date: 10/19/1999

Current Firm

VERTICE CAPITAL PARTNERS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VERTICE CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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