John A. Gargiulo
Professional summary
John A Gargiulo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, John had worked at 3 firms, which includes NETWORK 1 FINANCIAL SECURITIES INC., WINDSOR STREET CAPITAL LP, GRAYSON FINANCIAL LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2007 - April 16, 2008
NETWORK 1 FINANCIAL SECURITIES INC.
June 16, 2006 - October 12, 2006
NETWORK 1 FINANCIAL SECURITIES INC.
December 22, 2005 - February 24, 2006
WINDSOR STREET CAPITAL, LP
November 10, 2005 - June 13, 2006
GRAYSON FINANCIAL LLC
April 13, 1999 - June 15, 2005
GRAYSON FINANCIAL 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
NETWORK 1 FINANCIAL SECURITIES INC.
CRD#: 13577 / SEC#: , 8-29471
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 4 |
Red Flags
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