John Carneglia
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 Carneglia, who also goes by John Charles Carneglia, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2001. John had worked at 8 firms and has passed the Series 66, Series 57TO, SIE, Series 55, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2024 - June 26, 2026
TD SECURITIES (USA) LLC
April 28, 2020 - December 9, 2024
COWEN AND COMPANY
July 15, 2019 - November 27, 2019
TD ARRANGED SERVICES LLC
March 25, 2019 - May 1, 2020
COWEN EXECUTION SERVICES LLC
March 9, 2009 - July 19, 2018
BNP PARIBAS PRIME BROKERAGE, INC.
November 6, 2006 - February 21, 2019
BNP PARIBAS SECURITIES CORP.
June 8, 2004 - November 15, 2006
DEUTSCHE BANK SECURITIES INC.
July 27, 2001 - October 10, 2002
MORGAN STANLEY DW 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/18/2010
Limited Representative-Equity Trader ExamCurrent Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
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.
