John A. Burrello
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 Anthony Burrello was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 7 firms and has passed the Series 63, Series 7, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 1998 - January 17, 2001
UBS SECURITIES LLC
June 30, 1997 - August 26, 1997
UBS FINANCIAL SERVICES INC.
October 8, 1993 - May 3, 1996
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
June 23, 1988 - August 27, 1993
UBS FINANCIAL SERVICES INC.
July 2, 1986 - August 29, 1987
SBC WARBURG DILLON READ INC.
May 20, 1986 - June 20, 1986
WILLIAM BLAIR
August 23, 1984 - May 16, 1985
KEYBANC CAPITAL MARKETS INC.
October 11, 1972 - May 1, 1974
KEYBANC CAPITAL MARKETS INC.
October 28, 1969 - August 10, 1972
BALL, BURGE & KRAUS
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
Series 1
Date: 1/3/1962
Registered Representative ExaminationSeries 40
Date: 10/18/1969
Registered Principal ExaminationCurrent Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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