Jack J. Tagliaferro
Professional summary
Jack Joseph Tagliaferro was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jack is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Jack had worked at 15 firms, which includes ROCKWELL GLOBAL CAPITAL LLC, MARQUIS FINANCIAL SERVICES INC., WOODSTOCK FINANCIAL GROUP INC., GUNNALLEN FINANCIAL INC, J.P. TURNER & COMPANY L.L.C., BRUNDYN SECURITIES INC., LH ROSS & COMPANY INC., HARRISON SECURITIES INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., NATIONAL SECURITIES CORPORATION, OSCAR GRUSS & SON INCORPORATED, THE THERMOPYLAE GROUP INC., DALTON KENT SECURITIES GROUP INC., FIRST PROVIDENCE FINANCIAL GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2011 - September 13, 2011
ROCKWELL GLOBAL CAPITAL LLC
July 7, 2010 - September 6, 2011
MARQUIS FINANCIAL SERVICES, INC.
January 23, 2009 - June 29, 2010
WOODSTOCK FINANCIAL GROUP, INC.
February 20, 2008 - January 30, 2009
GUNNALLEN FINANCIAL, INC
October 28, 2005 - February 25, 2008
J.P. TURNER & COMPANY, L.L.C.
October 6, 2004 - October 28, 2005
BRUNDYN SECURITIES INC.
April 23, 2004 - December 17, 2004
LH ROSS & COMPANY, INC.
October 6, 2003 - April 26, 2004
HARRISON SECURITIES, INC.
November 1, 2002 - October 6, 2003
METROPOLITAN LIFE INSURANCE COMPANY
November 1, 2002 - October 6, 2003
MSI FINANCIAL SERVICES, INC.
June 14, 2000 - September 3, 2002
NATIONAL SECURITIES CORPORATION
October 12, 1999 - April 19, 2000
OSCAR GRUSS & SON INCORPORATED
November 17, 1998 - October 19, 1999
THE THERMOPYLAE GROUP, INC.
July 6, 1998 - July 21, 1998
DALTON KENT SECURITIES GROUP, INC.
September 22, 1997 - July 9, 1998
FIRST PROVIDENCE FINANCIAL GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
Red Flags
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