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John Nicholas Furkioti

CRD# 5005622·Registered 2005 - 2016
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Nicholas Furkioti, who also goes by John N Furkioti, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 2005 - 2016. John had worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

John N Furkioti

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

21 years in the financial services industry

Current & Past Employments

FIRST AMERICAN SECURITIES, INC.·CRD# 35841
BD
Livonia, MI
June 26, 2013 - April 1, 2016
W R RICE FINANCIAL SERVICES, INC.·CRD# 36700
BD
Bay City, MI
January 4, 2011 - November 21, 2012
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Farmington Hills, MI
September 23, 2005 - April 6, 2010

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Current Firm

FA
FIRST AMERICAN SECURITIES, INC.

FIRST AMERICAN SECURITIES | PRIVATE FINANCIAL SECURITIES | FIRST AMERICAN SECURITIES, INC. | FIRST AMERICAN SECURITIES, INC

CRD#: 35841 / SEC#: 801-61017, 8-47094
BD
Terminated by SEC on 06/21/2016

Contact Information

Main Address

324 West High St., Orrville, OH 44667

Established

Minnesota since 03/13/2002

Firm Type

Corporation

Fiscal Year End

December

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
FIRST AMERICAN HOLDINGS LLCSHAREHOLDER—
BRENNER, THOMAS EDWARD JRCHIEF EXECUTIVE OFFICER1489233
FURKIOTI, JOHN NICHOLASCCO (BD) CCO (RIA)5005622
GETTENBERG, JASON SCOTTFINOP4427007
MATHEWS, JOAN DIANE FOSTERCOMPLIANCE OFFICER1302135

Disclosures

Regulatory Event

4

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Oct 2005About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Apr 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2005About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Feb 2014About the Series 24 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Sep 2007About the Series 10 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Aug 2007About the Series 9 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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