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JP

John F. Posteraro

SIDOTI & COMPANY
New York, NY 10036
Some features on this profile are disabled
CRD#: 4072019
JP

Professional summary

John Francis Posteraro is a registered financial professional currently at SIDOTI & COMPANY, LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 2000. John has worked at 5 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) - BD

Click below to view John Francis Posteraro's CRS (Customer Relationship Summary).

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

Current

May 8, 2021 - Present

SIDOTI & COMPANY, LLC

Office #1: 1177 Avenue Of Americas Floor 5, New York, NY 10036Office #2: 1177 Avenue Of Americas Floor 5, New York, NY 10036
BD
CRD#: 102860
New York, NY
Past

April 30, 2018 - April 22, 2020

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

February 22, 2016 - November 21, 2017

C. L. KING & ASSOCIATES, INC.

BD
CRD#: 6183
NEW YORK, NY
Past

November 3, 2014 - March 14, 2016

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

August 11, 2004 - October 17, 2014

SIDOTI & COMPANY, LLC

BD
CRD#: 102860
NEW YORK, NY
Past

March 4, 2002 - June 25, 2003

PALISADE CAPITAL SECURITIES, L.L.C.

BD
CRD#: 37579
FORT LEE, NJ
Past

April 24, 2000 - March 4, 2002

SIDOTI & COMPANY, LLC

BD
CRD#: 102860
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(6/10/2021)
RR
Connecticut
(6/10/2021)
RR
Delaware
(6/10/2021)
RR
District of Columbia
(6/10/2021)
RR
Florida
(6/10/2021)
RR
Georgia
(6/10/2021)
RR
Illinois
(6/10/2021)
RR
Maryland
(6/10/2021)
RR
Massachusetts
(6/10/2021)
RR
Missouri
(6/10/2021)
RR
New Jersey
(6/10/2021)
RR
New York
(5/8/2021)
RR
North Carolina
(6/10/2021)
RR
Pennsylvania
(6/10/2021)
RR
South Carolina
(6/10/2021)
RR
Texas
(6/10/2021)
RR
Virginia
(6/10/2021)
RR
Washington
(6/10/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/8/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/8/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

S&
SIDOTI & COMPANY, LLC
SIDOTI & COMPANY, LLC | SIDOTI RESEARCH SERVICES, LLC | SIDOTI RESEARCH SERVICES

CRD#: 102860 / SEC#: , 8-52141

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1177 Avenue Of Americas Floor 5, New York, NY 10036
Mailing Address
P.o. Box 5337, New York, NY 10185
Phone number
(212) 297-0001
Established
Delaware since 03/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SIDOTI HOLDING COMPANY, LLCSOLE MEMBER
FISCHER, HOWARD STEVENFINOP / PFO / PPO1637077
SIDOTI, PETER THOMASCEO, CCO1359648

Disclosures

Regulatory Event3

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

SIDOTI & COMPANY, LLC

CRD#: 102860New York, NY 10036

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