John P. Rabaglia
Professional summary
John Peter Rabaglia is a registered financial professional currently at STONEX FINANCIAL 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 57TO, SIE, Series 3, Series 55, Series 25, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Peter Rabaglia's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 11, 2022 - Present
STONEX FINANCIAL INC.
Office #1: 230 Park Avenue 10th Floor, New York, NY, 10169December 10, 2020 - March 4, 2022
CITADEL SECURITIES LLC
December 10, 2020 - March 4, 2022
CITADEL SECURITIES INSTITUTIONAL LLC
April 4, 2019 - December 9, 2020
VIRTU AMERICAS LLC
October 2, 2013 - November 3, 2020
VIRTU ALTERNET SECURITIES LLC
June 7, 2010 - August 3, 2020
VIRTU ITG LLC
July 20, 2007 - December 31, 2008
OPPENHEIMER & CO. INC.
July 11, 2000 - February 7, 2007
MORGAN STANLEY & CO. LLC
November 7, 1995 - May 8, 1996
ROBERT W. BAIRD & CO. INCORPORATED
November 7, 1995 - June 19, 1996
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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
(2/13/2023)
(2/13/2023)
(2/13/2023)
(2/13/2023)
(2/13/2023)
(8/11/2022)
(2/13/2023)
(2/13/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/15/2005
Limited Representative-Equity Trader ExamSeries 25
Date: 11/14/2000
NYSE Trading Assistant ExaminationFINRA
Nasdaq Stock Market
Current Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
Red Flags
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