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JM

John Robert Macneille

CRD# 316396·Registered 1965 - 2017
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Robert Macneille, who also goes by Jerry Macneille, John Robert Macneille III, Jerry Macneille Mr., was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1965 - 2017. John had worked at 11 firms and has passed the Series 63, SIE and Series 1 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jerry Macneille, John Robert Macneille Iii, Jerry Macneille Mr.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

61 years in the financial services industry

Current & Past Employments

FIRST EMPIRE SECURITIES, INC.·CRD# 15129
BD
Jersey City, NJ
June 1, 2016 - June 5, 2017
HERBERT J. SIMS & CO, INC.·CRD# 3420
BD
Iselin, NJ
September 20, 2012 - May 31, 2016
RAYMOND JAMES & ASSOCIATES, INC.·CRD# 705
BD
New York, NY
March 2, 1994 - April 4, 2012
LAZARD FRERES & CO. LLC·CRD# 2528
BD
New York, NY
April 21, 1989 - March 4, 1994
E.A. MOOS & CO. L.P.·CRD# 7606
BD
Summit, NJ
January 26, 1988 - April 27, 1989
MORGAN STANLEY & CO. LLC·CRD# 8209
BD
October 8, 1986 - February 5, 1988
L. F. ROTHSCHILD & CO. INCORPORATED·CRD# 501
BD
December 1, 1982 - November 6, 1986
DREXEL BURNHAM LAMBERT INCORPORATED·CRD# 7323
BD
August 9, 1982 - December 7, 1982
WEEDEN & CO.·CRD# 878
BD
May 18, 1976 - January 8, 1979
MOSELEY SECURITIES CORPORATION·CRD# 7908
BD
May 18, 1976 - May 7, 1980
G. H. WALKER, LAIRD INCORPORATED·CRD# 342
BD
May 4, 1965 - January 15, 1971

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Current Firm

FE
FIRST EMPIRE SECURITIES, INC.

FIRST EMPIRE SECURITIES, INC.

CRD#: 15129 / SEC#: 8-31701
BD
Terminated by SEC on 06/29/2019

Contact Information

Established

New York since 04/03/1984

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST EMPIRE HOLDING CORP.OWNER—
ACCOLLA, GINA MARIECHIEF COMPLIANCE OFFICER2564494
BHOLAN, LENA NFINANCIAL PRINCIPAL2809864
NEEDLEMAN, ERIC DAVIDCHIEF EXECUTIVE OFFICER2773431
SCHRICK, FREDERICK RICHARDTREASURER5636488

Disclosures

Regulatory Event

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1995About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jun 2017About the SIE exam

Series 1 — Registered Representative Examination

Passed May 1965

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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