Juan J. Carrion
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.
Juan Jose Carrion, who also goes by Juan Jose Carrion, was a registered financial professional .
Juan is a previously registered financial professional and started their career in finance in 2000. Juan had worked at 7 firms and has passed the Series 66 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
April 16, 2012 - July 30, 2012
JOHN THOMAS FINANCIAL
February 25, 2011 - December 7, 2011
MF GLOBAL INC.
May 19, 2010 - December 6, 2010
ATLANTIC EQUITIES, LLC
June 9, 2008 - December 31, 2009
EMPIRE ASSET MANAGEMENT COMPANY
May 12, 2004 - December 12, 2007
UBS SECURITIES LLC
April 2, 2001 - March 5, 2004
BARCLAYS CAPITAL INC.
June 14, 2000 - December 21, 2000
J.P. MORGAN SECURITIES 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
JOHN THOMAS FINANCIAL
CRD#: 40982 / SEC#: , 8-49254
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CASTELLANO, JOSEPH LOUIS | CHIEF COMPLIANCE OFFICER | 1158479 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 18 |
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.
