John N. Scaramucich
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 Nicholas Scaramucich, who also goes by John Nicholas Scaramucich Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2013 - December 22, 2014
ROTHSCHILD LIEBERMAN LLC
October 26, 2011 - April 2, 2012
FIS BROKERAGE & SECURITIES SERVICES LLC
July 29, 2011 - October 17, 2011
GRACE FINANCIAL GROUP LLC
October 21, 2008 - July 22, 2009
ASTORIA CAPITAL MARKETS, INC.
November 7, 2007 - October 23, 2008
TAFFERER TRADING, LLC
February 2, 2005 - November 17, 2005
GRACE FINANCIAL GROUP LLC
November 5, 1999 - March 2, 2000
J.P.R. CAPITAL CORP.
August 28, 1999 - October 20, 1999
CARNEGIE INVESTOR SERVICES INC.
March 16, 1999 - March 19, 1999
TASIN & COMPANY, INC.
January 14, 1997 - February 3, 1999
ROYCE INVESTMENT GROUP, INC.
August 11, 1994 - December 4, 1996
KENSINGTON WELLS INCORPORATED
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: 7/1/2008
Limited Representative-Equity Trader ExamCurrent Firm
ROTHSCHILD LIEBERMAN LLC
CRD#: 10030 / SEC#: , 8-26080
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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