JC
John P. Carbone
EASTERLY SECURITIES LLC
Beverly, MA 01915
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CRD#: 4156078
JC
Professional summary
John Peter Carbone, who also goes by John Peter Carbone Jr., John Peter Carbone Jr., is a registered financial professional currently at EASTERLY SECURITIES LLC located in Beverly, Massachusetts.
John is registered as a RR (Registered Representative) and started their career in finance in 2000. John has worked at 6 firms and has passed the Series 63, Series 6TO, SIE, Series 3, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John Peter Carbone Jr. | John Peter Carbone Jr.
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.
CRS (Client Relationship Summary) - BD
Click below to view John Peter Carbone'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®
NoneExperience
Current
May 15, 2024 - Present
EASTERLY SECURITIES LLC
Office #1: 138 Conant Street Suite 100, Beverly, MA 01915BD
CRD#: 281103
Beverly, MA
Past
April 27, 2016 - December 21, 2022
FRED ALGER & COMPANY, LLC
BD
CRD#: 5300
NEW YORK, NY
Past
October 22, 2013 - July 29, 2015
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
BOSTON, MA
Past
December 3, 2012 - September 16, 2013
HARTFORD FUNDS DISTRIBUTORS, LLC
BD
CRD#: 45995
BOSTON, MA
Past
April 30, 2010 - December 3, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
BD
CRD#: 8326
HARTFORD, CT
Past
February 16, 2007 - May 6, 2010
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
April 11, 2000 - August 13, 2002
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
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
Alabama(5/15/2024)
RR
Alaska(5/15/2024)
RR
Arizona(5/15/2024)
RR
Arkansas(5/15/2024)
RR
California(5/15/2024)
RR
Colorado(5/15/2024)
RR
Connecticut(5/15/2024)
RR
Delaware(5/15/2024)
RR
District of Columbia(5/15/2024)
RR
Florida(5/15/2024)
RR
Georgia(5/15/2024)
RR
Hawaii(5/15/2024)
RR
Idaho(5/15/2024)
RR
Illinois(5/15/2024)
RR
Indiana(5/15/2024)
RR
Iowa(5/15/2024)
RR
Kansas(5/15/2024)
RR
Kentucky(5/15/2024)
RR
Louisiana(5/15/2024)
RR
Maine(5/15/2024)
RR
Maryland(5/15/2024)
RR
Massachusetts(5/15/2024)
RR
Michigan(5/15/2024)
RR
Minnesota(5/15/2024)
RR
Mississippi(5/15/2024)
RR
Missouri(5/15/2024)
RR
Montana(5/15/2024)
RR
Nebraska(5/15/2024)
RR
Nevada(5/15/2024)
RR
New Hampshire(5/15/2024)
RR
New Jersey(5/15/2024)
RR
New Mexico(5/15/2024)
RR
New York(5/15/2024)
RR
North Carolina(5/15/2024)
RR
North Dakota(5/15/2024)
RR
Ohio(5/17/2024)
RR
Oklahoma(5/15/2024)
RR
Oregon(5/15/2024)
RR
Pennsylvania(5/15/2024)
RR
Rhode Island(5/15/2024)
RR
South Carolina(5/15/2024)
RR
South Dakota(5/15/2024)
RR
Tennessee(5/15/2024)
RR
Texas(5/15/2024)
RR
Utah(5/15/2024)
RR
Vermont(5/15/2024)
RR
Virginia(5/15/2024)
RR
Washington(5/15/2024)
RR
West Virginia(5/15/2024)
RR
Wisconsin(5/15/2024)
RR
Wyoming(5/15/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ES
EASTERLY SECURITIES LLC
EASTERLY SECURITIES LLC | EASTERLY SECURITIES, LLC
CRD#: 281103 / SEC#: , 8-69661
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
138 Conant Street Suite 100, Beverly, MA 01915
Mailing Address
138 Conant Street Suite 100, Beverly, MA 01915
Phone number
(617) 231-4300
Established
Delaware since 07/06/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EASTERLY ASSET MANAGEMENT OPERATIONS LLC | SOLE AND MANAGING MEMBER | |
| JULIANO JR, PHILIP L | CHIEF EXECUTIVE OFFICER | 4781008 |
| JUSTER, KENNETH G | CHIEF LEGAL OFFICER | 4788250 |
| MONTAGUE, MICHAEL | CHIEF FINANCIAL OFFICER | 5121305 |
| SMITH, ELIZABETH ANNE | FINOP | 1960549 |
| SOMERS, DAVID MICHAEL II | CHIEF COMPLIANCE OFFICER | 4413478 |
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
EASTERLY SECURITIES LLC
CRD#: 281103Beverly, MA 01915TRUST BUT VERIFY
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