John E. Karaffa
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 Edward Karaffa, CFP®, who also goes by John Karaffa, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2003. John had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2006
Experience
June 24, 2013 - June 19, 2015
CG CAPITAL MARKETS, LLC
July 19, 2011 - September 1, 2017
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
July 19, 2011 - September 1, 2017
CAPITAL GUARDIAN, LLC
February 24, 2011 - July 5, 2011
PROSPERA FINANCIAL SERVICES, INC.
January 18, 2011 - July 5, 2011
PROSPERA FINANCIAL SERVICES, INC.
April 24, 2009 - December 31, 2010
PROSPERA FINANCIAL SERVICES, INC.
May 18, 2006 - January 3, 2008
GE INVESTMENT DISTRIBUTORS, INC
February 5, 2004 - September 15, 2004
HOCHMAN & BAKER SECURITIES, INC.
August 6, 2003 - May 12, 2006
GE INVESTMENT DISTRIBUTORS, INC
August 6, 2003 - June 19, 2008
CETERA FINANCIAL SPECIALISTS LLC
May 5, 2003 - February 27, 2009
CAPITAL BROKERAGE CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
CG CAPITAL MARKETS, LLC
CRD#: 35513 / SEC#: , 8-46710
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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