John M. Marinaccio

Some features on this profile are disabled

CRD#: 3274917

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 Michael Marinaccio was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2003. John had worked at 9 firms and has passed the Series 66, Series 7TO, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

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

February 16, 2018 - September 30, 2020

WORDEN CAPITAL MANAGEMENT LLC

CRD#: 148366

New York, NY

Past

October 26, 2017 - December 20, 2017

FIRST STANDARD FINANCIAL COMPANY LLC

CRD#: 168340

Red Bank, NJ

Past

June 15, 2017 - November 3, 2017

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

NEW YORK, NY

Past

June 21, 2012 - June 29, 2017

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

NEW YORK, NY

Past

October 28, 2010 - February 28, 2012

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

NEW YORK, NY

Past

December 14, 2009 - November 16, 2010

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

January 21, 2009 - November 20, 2009

R. SEELAUS & CO., LLC

RIA

CRD#: 14974

SUMMIT, NJ

Past

May 7, 2008 - November 20, 2009

R. SEELAUS & CO., LLC

CRD#: 14974

CHATHAM, NJ

Past

October 12, 2005 - May 16, 2008

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

August 11, 2005 - October 5, 2005

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

June 24, 2003 - July 6, 2004

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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

IAR

Series 66

Date: 12/10/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/1/2022

General Securities Representative Examination

General Industry/Product Exam

Series 52TO

Date: 12/1/2022

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/23/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/1/2022

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 12/1/2022

Municipal Securities Principal Examination

Current Firm

WORDEN CAPITAL MANAGEMENT LLC

CRD#: 148366 / SEC#: , 8-68010

Cancelled by SEC on 09/28/2023

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mailing Address

Phone number

Established

New York since 05/08/2008

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
WORDEN, JAMIE JOHN	CEO, MEMBER	4637404
BODKIN, GREGORY PATRICK	CCO	3008389
BORGNER, RICHARD REISS	COO/MUNICIPAL PRINCIPAL/ROSFP	1104666
CUCCIA, GARY JOHN	FINOP	1386493

Disclosures

Regulatory Event	6
Arbitration	12

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John M. Marinaccio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST STANDARD FINANCIAL COMPANY LLC

JOSEPH GUNNAR & CO. LLC

LAIDLAW & COMPANY (UK) LTD.

LAIDLAW & COMPANY (UK) LTD.

AEGIS CAPITAL CORP.

R. SEELAUS & CO., LLC

R. SEELAUS & CO., LLC

BARCLAYS CAPITAL INC.

MORGAN STANLEY & CO. LLC

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/10/2008

Series 7TO

Date: 12/1/2022

Series 52TO

Date: 12/1/2022

SIE

Date: 10/1/2018

Series 7

Date: 6/23/2003

Series 24

Date: 12/1/2022

Series 53

Date: 12/1/2022

Current Firm

WORDEN CAPITAL MANAGEMENT LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

WORDEN CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors