John M. Franggos
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 Franggos was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2000. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2018 - December 31, 2018
VISION BROKERAGE SERVICES, LLC
February 12, 2018 - May 15, 2018
J.H. DARBIE & CO., INC.
June 27, 2016 - November 4, 2016
EQUITABLE ADVISORS, LLC
March 11, 2016 - November 4, 2016
EQUITABLE ADVISORS, LLC
January 9, 2015 - March 14, 2016
WESTPARK CAPITAL, INC.
January 6, 2015 - March 14, 2016
WESTPARK CAPITAL, INC.
February 21, 2013 - April 21, 2014
NATIONAL SECURITIES CORPORATION
April 30, 2012 - January 11, 2013
ARISTON WEALTH MANAGEMENT, L.P.
April 27, 2012 - April 30, 2012
ARISTON WEALTH MANAGEMENT, L.P.
December 16, 2011 - January 11, 2013
WINDSOR STREET CAPITAL, LP
September 18, 2009 - December 21, 2011
PHD CAPITAL
July 20, 2009 - September 15, 2009
WORLD EQUITY GROUP, INC.
July 20, 2009 - September 15, 2009
WORLD EQUITY GROUP, INC.
January 24, 2000 - October 17, 2008
PHD CAPITAL
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
VISION BROKERAGE SERVICES, LLC
CRD#: 47927 / SEC#: , 8-51966
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOSHNACK, ROBERT MARTIN | CLASS A MEMBER | |
| ROTHMAN, HOWARD MARTIN | CLASS A MANAGING MEMBER, CEO, CFO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VP-OPERATIONS, PRINCIPAL OPERATIONS OFFICER, INSURANCE AND ANNUITY PRINCIPAL | 5288054 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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