JB
John L. Broccoli
OPEN TO THE PUBLIC INVESTING
New York, NY 10013
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CRD#: 4555223
JB
Professional summary
John Louis Broccoli is a registered financial professional currently at OPEN TO THE PUBLIC INVESTING, INC. located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 2002. John has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 99, Series 55, Series 7 and Series 24 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 Louis Broccoli'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
January 29, 2020 - Present
OPEN TO THE PUBLIC INVESTING, INC.
Office #1: 6 Harrison St 5th Floor, New York, NY 10013BD
CRD#: 127818
New York, NY
Past
August 22, 2018 - January 17, 2020
STASH CAPITAL LLC
BD
CRD#: 287728
NEW YORK, NY
Past
January 30, 2015 - July 19, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
October 24, 2002 - May 25, 2007
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
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
Alabama(1/26/2023)
RR
Alaska(1/26/2023)
RR
Arizona(1/26/2023)
RR
Arkansas(1/26/2023)
RR
California(1/26/2023)
RR
Colorado(1/26/2023)
RR
Connecticut(1/26/2023)
RR
Delaware(1/26/2023)
RR
District of Columbia(1/26/2023)
RR
Florida(1/26/2023)
RR
Georgia(1/26/2023)
RR
Hawaii(1/26/2023)
RR
Idaho(1/26/2023)
RR
Illinois(1/26/2023)
RR
Indiana(1/26/2023)
RR
Iowa(1/26/2023)
RR
Kansas(1/26/2023)
RR
Kentucky(1/26/2023)
RR
Louisiana(1/26/2023)
RR
Maine(1/26/2023)
RR
Maryland(1/26/2023)
RR
Massachusetts(1/26/2023)
RR
Michigan(1/26/2023)
RR
Minnesota(1/26/2023)
RR
Mississippi(1/26/2023)
RR
Missouri(1/26/2023)
RR
Montana(1/26/2023)
RR
Nebraska(1/26/2023)
RR
Nevada(1/26/2023)
RR
New Hampshire(1/26/2023)
RR
New Jersey(1/26/2023)
RR
New Mexico(1/26/2023)
RR
New York(1/29/2020)
RR
North Carolina(1/26/2023)
RR
North Dakota(1/26/2023)
RR
Ohio(1/27/2023)
RR
Oklahoma(1/26/2023)
RR
Oregon(1/26/2023)
RR
Pennsylvania(1/26/2023)
RR
Puerto Rico(1/26/2023)
RR
Rhode Island(1/26/2023)
RR
South Carolina(1/26/2023)
RR
South Dakota(1/26/2023)
RR
Tennessee(5/29/2025)
RR
Texas(1/26/2023)
RR
Utah(1/26/2023)
RR
Vermont(1/26/2023)
RR
Virgin Islands(1/26/2023)
RR
Virginia(1/26/2023)
RR
Washington(1/26/2023)
RR
West Virginia(1/26/2023)
RR
Wisconsin(1/26/2023)
RR
Wyoming(1/26/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/11/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/19/2005
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OT
OPEN TO THE PUBLIC INVESTING, INC.
LIQUID PRIME SERVICES INC. | TACONIC CAPITAL GROUP INC. | T3 SECURITIES, INC. | PUBLIC INVESTING | PUBLIC | OPEN TO THE PUBLIC INVESTING, INC. | LIQUID PRIME SERVICES, INC.
CRD#: 127818 / SEC#: , 8-66049
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
6 Harrison St 5th Floor/suite, New York, NY 10013
Mailing Address
228 Park Ave. S Suite 97716, New York, NY 10003
Phone number
(212) 401-6946
Established
New York since 05/16/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
