John J. Krog
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 Krog was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1995. John had worked at 8 firms and has passed the Series 63, Series 7, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2014 - September 2, 2014
FIS BROKERAGE & SECURITIES SERVICES LLC
November 18, 2010 - December 5, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
February 15, 2000 - May 5, 2000
THE BRASS UTILITY, L.L.C.
June 2, 1998 - September 16, 1998
HAMBRECHT & QUIST LLC
July 30, 1997 - July 9, 1998
ACCESS SECURITIES, LLC
January 17, 1997 - July 8, 1997
NICHOLS, SAFINA, LERNER & CO. INC.
October 17, 1995 - January 2, 1997
GRUNTAL & CO., L.L.C.
April 10, 1995 - October 5, 1995
THOMAS GREEN SECURITIES, INC.
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: 3/14/2000
Limited Representative-Equity Trader ExamCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
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