John J. Pileggi
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 Joseph Pileggi was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2017 - July 11, 2017
MATRIX 360 DISTRIBUTORS, LLC
January 30, 2017 - March 15, 2017
MATRIX CAPITAL GROUP, INC.
November 15, 2016 - April 14, 2017
GRAIL SECURITIES, LLC
January 25, 2011 - December 31, 2016
MATRIX CAPITAL GROUP, INC.
October 12, 2005 - October 26, 2010
FORESIDE DISTRIBUTION SERVICES, L.P.
May 13, 2003 - April 16, 2004
MERCANTILE BROKERAGE SERVICES, INC.
April 15, 2002 - April 16, 2004
MERCANTILE SECURITIES, INC.
March 25, 1999 - September 20, 2000
ING FUNDS DISTRIBUTOR, INC.
September 29, 1994 - February 11, 1999
ABN AMRO SECURITIES LLC
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 8
Date: 3/13/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MATRIX 360 DISTRIBUTORS, LLC
CRD#: 159715 / SEC#: , 8-69013
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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.
