Gionatan Spagnoletti
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.
Gionatan Spagnoletti, who also goes by Jon Spagnoletti, was a registered financial professional .
Gionatan is a previously registered financial professional and started their career in finance in 2006. Gionatan had worked at 5 firms and has passed the Series 63, SIE 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
November 1, 2016 - May 1, 2018
LPS CAPITAL LLC
November 10, 2014 - October 4, 2016
TULLETT PREBON FINANCIAL SERVICES LLC
January 2, 2014 - September 25, 2014
TRADITION SECURITIES AND DERIVATIVES LLC
April 2, 2012 - October 2, 2014
STANDARD CREDIT SECURITIES INC.
November 30, 2006 - April 11, 2012
BGC FINANCIAL, L.P.
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
Current Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPS PARTNERS LLC | OWNER | |
| TARLETON, JOHN WILLIAM | PRESIDENT, CCO, FINOP | 1631047 |
Disclosures
| Regulatory Event | 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.
