John Alkaya
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 Alkaya was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 4 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2002 - November 13, 2002
ICAP/INVESTMENT SERVICES AND TRADING, LLC
December 1, 2000 - May 9, 2002
SCHONFELD SECURITIES, LLC
June 18, 1999 - December 4, 2000
MILLENNIUM SECURITIES CORP.
June 4, 1998 - June 11, 1999
JOSEPHTHAL & CO., INC.
April 30, 1997 - March 17, 1998
MILLENNIUM SECURITIES CORP.
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: 2/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
ICAP/INVESTMENT SERVICES AND TRADING, LLC
CRD#: 31271 / SEC#: , 8-45473
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNDICATE TRADING LLC | OWNER | |
| COLUCCI, ROBERT RONALD JR | GSP BRANCH SUPERVISOR | 2548010 |
| DEVITO, JOHN PAUL | GENERAL SECURITIES PRINCIPAL | 1317129 |
| PAULEN, CRAIG DANIEL MR. | GENERAL SECURITIES PRINCIPAL | 4271406 |
| PIAZZA, NICHOLAS JAMES | VP OPERATIONS | 1194491 |
| SIEGEL, SHARON LISA | FINOP, CONTROLLER | 3178779 |
| TARTAGLIA, VICTOR GLENN | PRESIDENT | 3021970 |
| TOGNETTI, LINO STEVEN MR. | TREASURER | 4138703 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 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.
