John B. Sacco

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CRD#: 2410017

Professional summary

John Battista Sacco was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, John had worked at 11 firms, which includes NATIONAL CLEARING CORP., THE AGEAN GROUP INC, BENNETT MULLANEY & CO. INC., WEST AMERICA SECURITIES CORP, ASH FINANCIAL CORP., L.B. SAKS INC., TUSCANY EQUITY MANAGEMENT CORPORATI0N, LT LAWRENCE & CO. INC., A.S. GOLDMEN & CO. INC., HANOVER STERLING & COMPANY LTD., STRATTON OAKMONT INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Batista Sacco | Battista Sacco

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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CRS (Client Relationship Summary)

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

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

Past

January 5, 2000 - November 28, 2000

NATIONAL CLEARING CORP.

CRD#: 14343

SHERMAN OAKS, CA

Past

March 29, 1999 - January 4, 2000

THE AGEAN GROUP, INC

CRD#: 30835

BOCA RATON, FL

Past

October 2, 1998 - May 19, 1999

BENNETT, MULLANEY & CO., INC.

CRD#: 10448

NEW YORK, NY

Past

March 3, 1998 - July 16, 1998

WEST AMERICA SECURITIES CORP

CRD#: 35035

LAS VEGAS, NV

Past

May 9, 1997 - January 12, 1998

ASH FINANCIAL CORP.

CRD#: 24990

GREAT NECK, NY

Past

April 3, 1997 - June 6, 1997

L.B. SAKS, INC.

CRD#: 34070

Past

June 10, 1996 - December 11, 1996

TUSCANY EQUITY MANAGEMENT CORPORATI0N

CRD#: 20016

DEERFIELD BEACH, FL

Past

January 22, 1996 - September 4, 1996

LT LAWRENCE & CO., INC.

CRD#: 31956

NEW YORK, NY

Past

February 27, 1995 - December 15, 1995

A.S. GOLDMEN & CO., INC.

CRD#: 23180

RED BANK, NJ

Past

July 25, 1994 - July 11, 1995

HANOVER, STERLING & COMPANY LTD.

CRD#: 15491

NEW YORK, NY

Past

March 23, 1994 - June 1, 1994

HANOVER, STERLING & COMPANY LTD.

CRD#: 15491

NEW YORK, NY

Past

January 17, 1994 - February 15, 1994

STRATTON OAKMONT INC.

CRD#: 18692

LAKE SUCCESS, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 2/4/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/14/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 4/27/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/19/1997

General Securities Principal Examination

Current Firm

NATIONAL CLEARING CORP.

J.B. OXFORD & COMPANY | NATIONAL CLEARING CORP. | MOUNTAIN FINANCIAL, INC.

CRD#: 14343 / SEC#: , 8-30593

Terminated by SEC on 04/29/2006

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Contact information

Main Address

Mailing Address

Phone number

Established

Utah since 08/23/1983

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
JB OXFORD HOLDINGS, INC.	DIRECT OWNER
CHIODO, MICHAEL J	DIRECTOR & CFO	2097132
FISCHER, BARRY STEVEN	DIRECTOR, PRESIDENT, CEO & GENERAL COUNSEL	3134841

Disclosures

Regulatory Event	19
Civil Event	1
Arbitration	37

Red Flags

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Firm Stability Insights

John B. Sacco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE AGEAN GROUP, INC

BENNETT, MULLANEY & CO., INC.

WEST AMERICA SECURITIES CORP

ASH FINANCIAL CORP.

L.B. SAKS, INC.

TUSCANY EQUITY MANAGEMENT CORPORATI0N

LT LAWRENCE & CO., INC.

A.S. GOLDMEN & CO., INC.

HANOVER, STERLING & COMPANY LTD.

HANOVER, STERLING & COMPANY LTD.

STRATTON OAKMONT INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/4/1994

Series 7

Date: 1/14/1994

Series 4

Date: 4/27/1999

Series 24

Date: 6/19/1997

Current Firm

NATIONAL CLEARING CORP.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATIONAL CLEARING CORP.

TRUST BUT VERIFY

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