John J. Kiely
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 Joseph Kiely was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2001. John had worked at 21 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2018 - March 9, 2022
SANCTUARY SECURITIES, INC.
May 2, 2016 - January 3, 2018
SIMPLEX TRADING, LLC
February 23, 2016 - February 21, 2018
ESSEX RADEZ LLC
March 21, 2014 - April 13, 2015
WNJ CAPITAL, INC.
July 16, 2013 - November 14, 2016
RII TRADING, LLC
August 22, 2012 - January 10, 2013
NICO SECURITIES, LLC
March 30, 2011 - August 11, 2011
SPYGLASS SECURITIES, LLC
August 16, 2010 - May 25, 2012
SIMPLEX TRADING, LLC
December 21, 2006 - November 7, 2008
NICO SECURITIES, LLC
October 24, 2006 - January 8, 2007
SKTY II, LLC
March 21, 2006 - December 3, 2009
HRT EXECUTION SERVICES LLC
May 10, 2004 - August 6, 2007
LIQUIDPOINT, LLC
May 27, 2003 - February 17, 2009
PAPOUTSIS, THOMAS
April 25, 2003 - June 30, 2004
CAPITAL RESOURCE FINANCIAL SERVICES, L.L.C.
December 11, 2002 - October 1, 2004
NEWTONIAN TRADING, LLC
December 11, 2002 - September 28, 2007
SCMS LLC
December 11, 2002 - June 30, 2010
SAMUELSON TRADING CORPORATION
December 11, 2002 - July 1, 2011
RII TRADING LLC.
November 19, 2002 - March 10, 2008
ASPEN TRADING, L.L.C
November 14, 2002 - September 1, 2004
CMT SECURITIES, LLC
September 19, 2002 - October 2, 2013
RCI LIMITED PARTNERSHIP
April 24, 2002 - October 26, 2012
AJAX INVESTMENTS, LLC
May 10, 2001 - January 28, 2016
MARATHON FINANCIAL GROUP 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SANCTUARY SECURITIES, INC.
CRD#: 205 / SEC#: 801-67588, 8-22752
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANCTUARY WEALTH GROUP, LLC | SOLE SHAREHOLDER | |
| CHASE, KEVIN P | CHIEF COMPLIANCE OFFICER | 1626158 |
| MILLER, KEVIN JOSEPH | CHIEF LEGAL OFFICER AND BOARD MEMBER OF SANCTUARY SECURITIES INC. | 4133001 |
| SMEAL, TIMOTHY D | DIRECTOR OF OPERATIONS | 4169869 |
| VAUGHAN, DAVID | FINANCIAL OPERATIONS PRINCIPAL- FINOP AND BOARD MEMBER OF SANCTUARY SECURITIES INC. | 2603399 |
| WALTER, ROBERT ALAN | PRESIDENT AND CHAIRMAN OF THE BOARD FOR SANCTUARY SECURITIES INC. | 2507287 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 9 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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