John C. Carneglia
Professional summary
John Charles Carneglia, who also goes by John Charles Carneglia, is a registered financial professional currently at TD SECURITIES (USA) LLC located in Garden City, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 2001. John has 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) - BD
Click below to view John Charles Carneglia's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 9, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: 1050 Franklin Ave Suite 200, Garden City, NY 11530April 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
(12/9/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/18/2010
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current 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 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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