John Masi
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 Masi, who also goes by John S Masi, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 55 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2014 - October 21, 2016
SCOTTRADE, INC.
March 18, 2013 - May 20, 2013
MSI FINANCIAL SERVICES, INC.
June 2, 2005 - December 2, 2008
TRIPP & CO., INC.
May 1, 2002 - July 10, 2003
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
February 28, 2000 - August 25, 2003
FIRST OPTIONS OF CHICAGO, INC.
July 12, 1999 - February 10, 2000
TD AMERITRADE, INC.
March 24, 1999 - July 13, 1999
R.D. WHITE & CO., INC.
September 30, 1998 - October 16, 1998
WORLDCO, L.L.C.
September 3, 1997 - June 23, 1998
LT LAWRENCE & CO., INC.
August 28, 1997 - August 28, 1997
DREYFUS BROKERAGE SERVICES, INC.
October 16, 1996 - April 23, 1997
LT LAWRENCE & CO., 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: 6/26/2003
Limited Representative-Equity Trader ExamCurrent Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
