John J. Triglia

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CRD#: 2457892

Professional summary

John Joseph Triglia 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 advisor and started their career in finance in 1994. Prior to being barred, John had worked at 12 firms, which includes ROCKWELL GLOBAL CAPITAL LLC, ADVANCED PLANNING SECURITIES INC., NATIONS FINANCIAL GROUP INC., KCR ADVISORY SERVICES LLC, ARCHER ALEXANDER SECURITIES CORPORATION, COMMUNITY BANKERS SECURITIES LLC, MILESTONE FINANCIAL SERVICES INC., HAPOALIM SECURITIES USA INC., ROYCE INVESTMENT GROUP INC., KENSINGTON WELLS INCORPORATED, RICKEL & ASSOCIATES INC., SOUTH RICHMOND SECURITIES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

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

February 27, 2007 - November 9, 2007

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485

MELVILLE, NY

Past

February 16, 2006 - June 7, 2007

ADVANCED PLANNING SECURITIES, INC.

CRD#: 14382

MELVILLE, NY

Past

December 20, 2003 - October 4, 2004

NATIONS FINANCIAL GROUP, INC.

CRD#: 44181

CEDAR RAPIDS, IA

Past

October 1, 2002 - October 3, 2003

KCR ADVISORY SERVICES, LLC

RIA

CRD#: 116244

KNIGHTDALE, NC

Past

July 12, 2001 - December 19, 2003

ARCHER ALEXANDER SECURITIES CORPORATION

CRD#: 41555

KANSAS CITY, MO

Past

June 27, 2001 - July 9, 2001

COMMUNITY BANKERS SECURITIES, LLC

CRD#: 42794

RICHMOND, VA

Past

February 28, 2000 - June 20, 2001

MILESTONE FINANCIAL SERVICES, INC.

CRD#: 43295

BOHEMIA, NY

Past

October 29, 1999 - March 14, 2000

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

Past

October 24, 1996 - October 29, 1999

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, NY

Past

January 30, 1995 - November 19, 1996

KENSINGTON WELLS INCORPORATED

CRD#: 30570

Past

December 23, 1994 - January 26, 1995

RICKEL & ASSOCIATES, INC.

CRD#: 7839

NEW YORK, NY

Past

February 28, 1994 - December 23, 1994

SOUTH RICHMOND SECURITIES, INC.

CRD#: 14913

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

IAR

Series 65

Date: 9/3/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/3/2003

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/26/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/10/1996

General Securities Principal Examination

Current Firm

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485 / SEC#: , 8-67467

Terminated by SEC on 02/14/2016

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 12/21/2005

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
GUARINO, BRUCE JUDE	OPERATING OFFICER	1096719
GUARINO, DOUGLAS JOSEPH	CCO	1771389

Disclosures

Regulatory Event	1
Arbitration	7

Red Flags

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Firm Stability Insights

John J. Triglia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ADVANCED PLANNING SECURITIES, INC.

NATIONS FINANCIAL GROUP, INC.

KCR ADVISORY SERVICES, LLC

ARCHER ALEXANDER SECURITIES CORPORATION

COMMUNITY BANKERS SECURITIES, LLC

MILESTONE FINANCIAL SERVICES, INC.

HAPOALIM SECURITIES USA, INC.

ROYCE INVESTMENT GROUP, INC.

KENSINGTON WELLS INCORPORATED

RICKEL & ASSOCIATES, INC.

SOUTH RICHMOND SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/3/2002

Series 63

Date: 3/7/1994

Series 3

Date: 11/3/2003

Series 7

Date: 2/26/1994

Series 24

Date: 5/10/1996

Current Firm

ROCKWELL GLOBAL CAPITAL LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROCKWELL GLOBAL CAPITAL LLC

TRUST BUT VERIFY

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