John M. Lucarelli
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 Matthew Lucarelli, who also goes by John Lucarelli, was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1998. John had worked at 4 firms and has passed the Series 66 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
July 26, 2004 - December 9, 2004
BNY INVESTMENT CENTER INC.
March 27, 2002 - August 30, 2002
CITIGROUP GLOBAL MARKETS INC.
March 1, 2002 - August 30, 2002
CITIGROUP GLOBAL MARKETS INC.
January 4, 2001 - March 11, 2002
THOMAS WEISEL PARTNERS LLC
October 21, 1998 - December 22, 2000
PERSHING 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
Current Firm
BNY INVESTMENT CENTER INC.
CRD#: 47683 / SEC#: , 8-51868
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE BANK OF NEW YORK | SHAREHOLDER | |
| ANTONIO, FELICIA ANN | CHIEF COMPLIANCE OFFICER | 2085690 |
| ARIAS, OTTO JR | PRESIDENT, MSRB PRINCIPAL | 4837839 |
| BICKET, PATRICIA ANN | SECRETARY | 4030557 |
| BRUECKNER, RICHARD FREDERICK | CHAIRMAN/DIRECTOR | 878486 |
| BURR, RUSSEL ALAN | DIRECTOR | |
| DUFFY, JAMES PATRICK | OSJ PRINCIPAL | 1947171 |
| FIDEN, BRETT MICHAEL | TRADING SUPERVISOR | 1907859 |
| KEARNEY, MATTHEW WILLIAM | SROP, CROP | 2588271 |
| LUPO, FRANK | FINOP | 1807297 |
| MASTRO, THOMAS J. | TREASURER | 3242279 |
| STRUMEYER, GARY MITCHELL | DIRECTOR | 1157466 |
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.
