John D. Buglisi
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 David Buglisi was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 6 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
May 25, 2010 - April 15, 2015
ROCKWELL GLOBAL CAPITAL LLC
December 17, 2005 - May 21, 2010
JHS CAPITAL ADVISORS, LLC
August 19, 2002 - December 21, 2005
GUNNALLEN FINANCIAL, INC
October 1, 2001 - August 20, 2002
FIRST MONTAUK SECURITIES CORP.
December 4, 1997 - October 26, 2001
CONTINENTAL BROKER-DEALER CORP.
November 21, 1997 - December 2, 1997
LEGEND MERCHANT GROUP, 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
Current Firm
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
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.
