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JA

John G. Aquino

Some features on this profile are disabled
CRD#: 3238697
JA

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 Goddard Aquino was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1999. John had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 31, 2008 - December 4, 2014

GALLAGHER SECURITIES, INC

BD
CRD#: 116605
NEW YORK, NY
Past

January 12, 2006 - July 1, 2008

BENFIELD ADVISORY INC.

BD
CRD#: 42108
NEW YORK, NY
Past

July 26, 1999 - April 27, 2005

AON SECURITIES LLC

BD
CRD#: 4138
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/11/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/4/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/23/1999
General Securities Representative Examination

Current Firm

GS
GALLAGHER SECURITIES, INC
GALLAGHER SECURITIES INC. | WILLIS SECURITIES, INC. | WILLIS EQUITIES, INC. | WILLIS CAPITAL MARKETS | GALLAGHER SECURITIES, INC

CRD#: 116605 / SEC#: , 8-53563

New York
Registered Investment Advisory firm - SEC (8/14/2009 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
300 Madison Avenue 28th Floor, New York, NY, 10177
Mailing Address
300 Madison Avenue 28th Floor, New York, NY, 10017
Phone number
(212) 309-3494
Established
Delaware since 06/27/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ARTHUR J. GALLAGHER & CO.OWNER
BOLDING, JASON ROGERPRESIDENT, CEO & BOARD MEMBER3213645
DUBINSKY, WILLIAM JAYCHAIRMAN OF BOARD3086399
FITZPATRICK, RYAN EDWARDCCO, COO, TREASURER AND BOARD MEMBER2726698
GLYNN, MICHAEL GERARDFINANCIAL AND OPERATIONS PRINCIPAL3219445

Disclosures

Regulatory Event1

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.

Company Information

GALLAGHER SECURITIES, INC

CRD#: 116605

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