John F. Svolos
Professional summary
John Frederick Svolos, who also goes by John Svolos, is a registered financial professional currently at HASTINGS CAPITAL GROUP, LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1997. John has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Frederick Svolos's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 27, 2022 - Present
HASTINGS CAPITAL GROUP, LLC
Office #1: 527 Madison Avenue 4th Floor, New York, NY 10022November 3, 2015 - November 8, 2021
OPPENHEIMER & CO. INC.
October 6, 2009 - June 12, 2012
CREDIT AGRICOLE SECURITIES (USA) INC.
August 24, 2004 - September 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 25, 1997 - September 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/27/2022)
(7/27/2022)
Exams
FINRA
Current Firm
HASTINGS CAPITAL GROUP, LLC
CRD#: 142998 / SEC#: , 8-67517
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCARAMUCCI, ANTHONY (NMN) | MANAGER, MEMBER, CHIEF EXECUTIVE OFFICER, GENERAL SECURITIES PRINCIPAL | 1983175 |
| MESSING, BRETT STUART | MANAGER, MEMBER | 2077288 |
| KIRSCHENBLAT, CHAD ETHAN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2503352 |
| NOBLE, ALEXANDRA MARIE | CHIEF COMPLIANCE OFFICER, GENERAL SECURITIES PRINCIPAL | 5341828 |
| URREY, MINNA KATARIINA | CHIEF ADMINISTRATIVE OFFICER, GENERAL SECURITIES PRINCIPAL | 5429274 |
| WRIGHT, JASON RALPH | PRESIDENT, MEMBER, GENERAL SECURITIES PRINCIPAL | 2940758 |
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.
