John P. Raccioppi
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 Patrick Raccioppi, who also goes by John Patrick, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2000. John had worked at 11 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2013 - July 31, 2013
LEGEND SECURITIES, INC.
November 27, 2009 - February 9, 2012
CHELSEA FINANCIAL SERVICES
January 26, 2009 - June 15, 2009
NEWBRIDGE SECURITIES CORPORATION
January 10, 2008 - January 12, 2009
PRESTIGE FINANCIAL CENTER, INC.
November 21, 2007 - January 8, 2008
PRESTIGE FINANCIAL CENTER, INC.
July 16, 2007 - September 11, 2007
EMPIRE ASSET MANAGEMENT COMPANY
January 18, 2007 - July 13, 2007
AURA FINANCIAL SERVICES, INC.
November 30, 2005 - July 19, 2006
AURA FINANCIAL SERVICES, INC.
May 4, 2005 - December 6, 2005
J.P. TURNER & COMPANY, L.L.C.
June 21, 2004 - June 17, 2005
JOSEPH STEVENS & CO., INC.
February 17, 2004 - March 23, 2004
J.P. TURNER & COMPANY, L.L.C.
June 6, 2002 - June 11, 2003
CITICORP INVESTMENT SERVICES
December 12, 2000 - May 17, 2001
WEATHERLY SECURITIES CORPORATION
October 11, 2000 - December 12, 2000
MAGNUM SECURITIES OF NEW YORK INC.
May 24, 2000 - August 8, 2000
MAGNUM SECURITIES OF NEW YORK INC.
May 9, 2000 - May 18, 2000
MAGNUM SECURITIES OF NEW YORK INC.
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
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
