JC
John F. Cancalosi
HUDSON HERITAGE CAPITAL MANAGEMENT
Croton-on-hudson, NY 10520
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CRD#: 4394045
JC
Professional summary
John Francis Cancalosi is a registered financial professional currently at HUDSON HERITAGE CAPITAL MANAGEMENT, INC. located in Croton-on-hudson, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 2001. John has worked at 1 firm and has passed the SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view John Francis Cancalosi'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 30, 2001 - Present
HUDSON HERITAGE CAPITAL MANAGEMENT, INC.
Office #1: 20 Baltic Place Suite 2, Croton-on-hudson, NY 10520RIA
BD
CRD#: 44357
Croton-on-hudson, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HH
HUDSON HERITAGE CAPITAL MANAGEMENT, INC.
HUDSON HERITAGE CAPITAL MANAGEMENT, INC.
CRD#: 44357 / SEC#: 801-64064, 8-50648
RIA
Registered Investment Advisory firm - SEC (1/14/2008 Approved)New Jersey
Registered Investment Advisory firm - SEC (6/30/2022 Terminated)New York
Registered Investment Advisory firm - SEC (9/15/1998 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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
New Jersey(5/30/2001)
Exams
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HH
HUDSON HERITAGE CAPITAL MANAGEMENT, INC.
HUDSON HERITAGE CAPITAL MANAGEMENT, INC.
CRD#: 44357 / SEC#: 801-64064, 8-50648
RIA
Registered Investment Advisory firm - SEC (1/14/2008 Approved)New Jersey
Registered Investment Advisory firm - SEC (6/30/2022 Terminated)New York
Registered Investment Advisory firm - SEC (9/15/1998 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
20 Baltic Place Suite 2 Suite 2, Croton-on-hudson, NY 10520
Mailing Address
20 Baltic Place Suite 2, Croton-on-hudson, NY 10520
Phone number
(914) 271-8102
Established
New York since 09/30/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
12
SEC notice filing (5 States and Territories)
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 432 |
| AUM (Assets Under Management) | $ 121,730,000 |
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.
