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JH

John P. Harris

MARWOOD GROUP
New York, NY 10017
Some features on this profile are disabled
CRD#: 2518418
JH

Professional summary

John Pieski Harris, who also goes by John Harris Pieski, is a registered financial professional currently at MARWOOD GROUP located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1996. John has worked at 4 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Harris Pieski

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) - BD

Click below to view John Pieski Harris'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

April 1, 2009 - Present

MARWOOD GROUP

Office #1: 733 Third Avenue 11th Floor, New York, NY 10017Office #2: 733 Third Avenue 11th Floor, New York, NY 10017
RIA
BD
CRD#: 117015
New York, NY
Past

February 23, 1999 - April 2, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

December 4, 1998 - March 17, 1999

BNY CAPITAL MARKETS INC.

BD
CRD#: 18303
NEW YORK, NY
Past

December 3, 1996 - December 4, 1998

PATRICOF SECURITIES CORP.

BD
CRD#: 23580
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(4/1/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 12/3/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/7/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/2/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MG
MARWOOD GROUP
MARWOOD GROUP | MARWOOD GROUP LLC | MARWOOD GROUP ASSET MANAGEMENT LLC

CRD#: 117015 / SEC#: , 8-53573

Connecticut
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)
District of Columbia
Registered Investment Advisory firm - SEC (5/14/2004 Approved)
Illinois
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)
New York
Registered Investment Advisory firm - SEC (12/2/2003 Approved)
Oregon
Registered Investment Advisory firm - SEC (12/31/2023 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
733 Third Avenue 11th Floor, New York, NY 10017
Mailing Address
733 Third Avenue 11th Floor, New York, NY 10017
Phone number
(212) 532-3651
Established
New York since 06/06/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
9

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
MARWOOD GROUP & CO USA LLCSHAREHOLDER
BEATON, DANIEL STEWARTFINOP4240769
MODZELEWSKI, THOMAS JUDECOO & CCO4570850
MOORE, JOHN THOMAS JRCEO1931756

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.

Company Information

MARWOOD GROUP

CRD#: 117015New York, NY 10017

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