John N. Lilly
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 Nicholas Lilly was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2004. John had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2014 - June 21, 2016
MORGAN JOSEPH TRIARTISAN LLC
August 31, 2006 - March 26, 2013
KROLL SECURITIES LLC
October 6, 2004 - April 7, 2005
LEHMAN BROTHERS 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
Current Firm
MORGAN JOSEPH TRIARTISAN LLC
CRD#: 10948 / SEC#: , 8-27971
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRIARTISAN HOLDINGS INC. | SOLE SHAREHOLDER | |
| BLECHER, STEVEN DONALD | VICE CHAIRMAN OF THE BOARD, SECRETARY, TREASURER, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, ROSFP | 1230668 |
| FULVIO, GENNARO JOHN | CHIEF FINANCIAL OFFICER; FINOP | 2435828 |
| SORTE, JOHN FOLLETT | CEO, EXECUTIVE CHAIRMAN, DIRECTOR, AND GENERAL SECURITIES PRINCIPAL | 1042672 |
Disclosures
| Regulatory Event | 2 |
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.
