John A. Sioris

HEROLD & LANTERN INVESTMENTS

New York, NY 10022

Some features on this profile are disabled

CRD#: 425338

Professional summary

John Aristotle Sioris is a registered financial professional currently at HEROLD & LANTERN INVESTMENTS, INC. located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1969. John has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 18 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Aristotle Sioris's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 2, 2020 - Present

HEROLD & LANTERN INVESTMENTS, INC.

Office #1: 845 Third Avenue Suite 1703, New York, NY 10022

CRD#: 30996

New York, NY

Past

July 17, 2003 - November 5, 2020

BERNARD HEROLD & CO., INC.

CRD#: 6193

NEW YORK, NY

Past

May 11, 2001 - July 17, 2003

SANDERS MORRIS LLC

CRD#: 20580

HOUSTON, TX

Past

July 14, 1983 - May 24, 2001

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

May 26, 1977 - August 9, 1983

ADVEST, INC.

CRD#: 10

Past

June 2, 1969 - August 6, 1973

SARTORIUS & CO.

CRD#: 743

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Arizona
(11/2/2020)

California
(11/2/2020)

Connecticut
(11/2/2020)

Florida
(11/2/2020)

Illinois
(11/2/2020)

Indiana
(11/2/2020)

Maryland
(11/2/2020)

Massachusetts
(3/11/2024)

Minnesota
(11/2/2020)

New Jersey
(11/2/2020)

New York
(11/2/2020)

Ohio
(11/2/2020)

Virginia
(11/2/2020)

Exams

State Security Law Exam

Series 63

Date: 4/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 8/31/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 18

Date: 5/23/1977

Securities Industry Rules and Regulations Examination

General Industry/Product Exam

Series 1

Date: 5/26/1969

Registered Representative Examination

SRO Registrations

FINRA

Current Firm

HEROLD & LANTERN INVESTMENTS, INC.

HEROLD & LANTERN INVESTMENTS, INC. | LANTERN INVESTMENTS, INC.

CRD#: 30996 / SEC#: , 8-45285

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

35 Pinelawn Road Suite 101e, Melville, NY 11747

Mailing Address

35 Pinelawn Road Suite 101e, Melville, NY 11747

Phone number

(631) 454-2000

Established

Delaware since 08/28/1992

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PERCHERON ASSET MANAGEMENT GROUP, INC.	OWNER
HEROLD, LAWRENCE STEPHEN	CHIEF OPERATING OFFICER/FINOP	870531
LANTON, KEITH MICHAEL	PRESIDENT	1703378
SHEFTEL, WENDY DIANE	CHIEF COMPLIANCE OFFICER	2300282

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John A. Sioris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Aristotle Sioris's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERNARD HEROLD & CO., INC.

SANDERS MORRIS LLC

LADENBURG THALMANN & CO. INC.

ADVEST, INC.

SARTORIUS & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/7/1993

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 8/31/1977

Series 18

Date: 5/23/1977

Series 1

Date: 5/26/1969

FINRA

Current Firm

HEROLD & LANTERN INVESTMENTS, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HEROLD & LANTERN INVESTMENTS, INC.

TRUST BUT VERIFY

Similar Advisors