Jeffrey P. Tacconi
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.
Jeffrey Patrick Tacconi was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2002. Jeffrey had worked at 8 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, 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
March 14, 2019 - September 29, 2020
ARIVE CAPITAL MARKETS
December 5, 2016 - April 11, 2019
MOMENTIX CAPITAL, INC.
April 28, 2010 - December 2, 2016
LEGEND SECURITIES, INC.
November 18, 2008 - March 30, 2010
FIRST MIDWEST SECURITIES, INC.
July 10, 2007 - November 19, 2008
BRECEK & YOUNG ADVISORS, INC.
January 24, 2007 - July 11, 2007
VFINANCE INVESTMENTS, INC
October 21, 2002 - January 17, 2007
J.P. TURNER & COMPANY, L.L.C.
March 19, 2002 - October 3, 2002
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 12/1/2022
General Securities Representative ExaminationSeries 99TO
Date: 12/1/2022
Operations Professional ExaminationCurrent Firm
ARIVE CAPITAL MARKETS
CRD#: 8060 / SEC#: , 8-43350
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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