John G. Foley
Professional summary
John Graham Foley, who also goes by John G Foley, John Graham Foley, John Foley, is a registered financial professional currently at STANDARD CHARTERED SECURITIES NORTH AMERICA 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 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Graham Foley's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 9, 2022 - Present
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
Office #1: 1095 Avenue Of The Americas, New York, NY 10036March 6, 2019 - August 5, 2021
BNP PARIBAS SECURITIES CORP.
September 30, 2016 - June 6, 2018
E*TRADE SECURITIES LLC
November 21, 2014 - September 30, 2016
E*TRADE CLEARING LLC
September 20, 2010 - December 10, 2014
BARCLAYS CAPITAL INC.
July 1, 2005 - January 23, 2009
PERSHING LLC
January 3, 2005 - June 17, 2005
MURIEL SIEBERT & CO., LLC
December 8, 2000 - February 24, 2004
TD AMERITRADE, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/25/2008
Limited Representative-Equity Trader ExamFINRA
Current Firm
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
CRD#: 130847 / SEC#: , 8-66397
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANDARD CHARTERED HOLDINGS INC. | OWNER | |
| DEFILIPPO, MANDY J | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7184614 |
| HAUSCHILD, AUGUST DANIEL | ANTI MONEY LAUNDERING COMPLIANCE OFFICER | 4287421 |
| JONES, PAUL FAULKNER | CHIEF RISK OFFICER | 7630280 |
| NIELSEN, PETER | FINANCIAL AND OPERATIONS PRINCIPAL | 1072259 |
| PAULIC, JACINTA | CHIEF COMPLIANCE OFFICER, HEAD, CFCC ADVISORY FM AMERICAS | 5823367 |
Red Flags
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