John L. Mcnulty
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 Leonard Mcnulty, who also goes by Cologna, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2000. John had worked at 8 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
July 26, 2011 - January 27, 2012
CANACCORD GENUITY SECURITIES LLC
October 22, 2008 - July 1, 2011
RBC CAPITAL MARKETS, LLC
October 4, 2007 - October 20, 2008
CITIGROUP GLOBAL MARKETS INC.
November 21, 2005 - November 2, 2006
CREDIT SUISSE SECURITIES (USA) LLC
September 9, 2005 - November 1, 2005
PERSHING LLC
February 16, 2005 - September 9, 2005
PERSHING ADVISOR SOLUTIONS LLC
June 28, 2001 - February 16, 2005
PERSHING LLC
September 15, 2000 - January 24, 2001
IDS LIFE INSURANCE COMPANY
September 15, 2000 - January 24, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CANACCORD GENUITY SECURITIES LLC
CRD#: 24790 / SEC#: , 8-41403
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 1 |
Red Flags
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