John Tom

KIPPSDESANTO & COMPANY

Mclean, VA 22102

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CRD#: 2636365

Professional summary

John Tom is a registered financial professional currently at KIPPSDESANTO & COMPANY located in Mclean, Virginia and CAPITAL ONE SECURITIES, INC. located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1995. John has worked at 10 firms and has passed the Series 63, Series 6TO, Series 82TO, Series 99TO, SIE, Series 7, Series 39, Series 14, Series 26 and Series 24 exams.

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) - BD

Click below to view John Tom'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 15, 2025 - Present

KIPPSDESANTO & COMPANY

Office #1: 1675 Capital One Dr. Suite 1200, Mclean, VA 22102

CRD#: 45763

Mclean, VA

Current

April 15, 2025 - Present

CAPITAL ONE SECURITIES, INC.

Office #1: 299 Park Avenue 28th Floor, New York, NY 10171

CRD#: 44158

New York, NY

Current

April 15, 2025 - Present

TRIPLETREE, LLC

Office #1: 299 Park Avenue 14th Floor, New York, NY 10171

CRD#: 42820

New York, NY

Past

May 9, 2019 - March 25, 2025

WELLS FARGO SECURITIES, LLC

CRD#: 126292

New York, NY

Past

September 23, 2010 - May 7, 2019

COMMERZ MARKETS LLC

CRD#: 41957

NEW YORK, NY

Past

March 9, 2005 - May 25, 2007

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

October 30, 2003 - March 2, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 22, 2000 - October 8, 2003

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

March 18, 1996 - December 11, 2000

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

August 21, 1995 - March 25, 1996

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

State Registrations and Notice Filings

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

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

Louisiana
(4/15/2025)

Minnesota
(4/16/2025)

New York
(4/15/2025)

Virginia
(4/16/2025)

Exams

State Security Law Exam

Series 63

Date: 12/16/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 39

Date: 1/2/2023

Direct Participation Programs Principal Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 26

Date: 1/2/2023

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/16/2013

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

TRIPLETREE, LLC

CHERRY TREE & CO., LLC | TRIPLETREE, LLC

CRD#: 42820 / SEC#: , 8-50015

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

8200 Normandale Lake Blvd 7th Floor, Bloomington, MN 55437

Mailing Address

8200 Normandale Lake Blvd 7th Floor, Bloomington, MN 55437

Phone number

(952) 223-8400

Established

Minnesota since 01/13/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CAPITAL ONE, N.A.	SHAREHOLDER
HALPRIN, GABRIELLE BAILLEUX	CHIEF FINANCIAL OFFICER/FINOP	5087341
MULLIGAN, ROBERT	CHIEF COMPLIANCE OFFICER	1584973
ROER, PATRICIA LANG	DIRECTOR	3157205
ROTH, JUSTIN J	PRESIDENT/HEAD OF INVESTMENT BANKING	6886704
TULIP, STEVEN ANDREW	DIRECTOR	2540149

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

John Tom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Tom's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL ONE SECURITIES, INC.

TRIPLETREE, LLC

WELLS FARGO SECURITIES, LLC

COMMERZ MARKETS LLC

HSBC SECURITIES (USA) INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY & CO. LLC

PERSHING LLC

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/16/2010

Series 6TO

Date: 1/2/2023

Series 82TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1995

Series 39

Date: 1/2/2023

Series 14

Date: 1/2/2023

Series 26

Date: 1/2/2023

Series 24

Date: 2/16/2013

FINRA

Nasdaq Stock Market

Current Firm

TRIPLETREE, LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TRIPLETREE, LLC

TRUST BUT VERIFY

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