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JM

John J. Madia

DORSET PEAK SECURITIES LLC
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 5943267
JM

Professional summary

John Joseph Madia II, who also goes by John J Madia, John Joseph Madia II, John Joseph Madia, is a registered financial professional currently at DORSET PEAK SECURITIES LLC located in Summit, New Jersey.

John is registered as a RR (Registered Representative) and started their career in finance in 2012. John has worked at 4 firms and has passed the Series 63, Series 82TO, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John J Madia | John Joseph Madia Ii | John Joseph Madia

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Joseph Madia II'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®
None

Experience

Current

December 16, 2021 - Present

DORSET PEAK SECURITIES LLC

Office #1: 350 Springfield Ave Suite 301, Summit, NJ 07901
BD
CRD#: 312209
Summit, NJ
Past

June 14, 2016 - April 28, 2021

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

March 17, 2014 - June 20, 2016

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

September 25, 2012 - March 14, 2014

SANDLER, O'NEILL & PARTNERS, L.P.

BD
CRD#: 23328
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
New Jersey
(12/16/2021)
RR
New York
(12/16/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/3/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 9/18/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/24/2012
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DP
DORSET PEAK SECURITIES LLC
DORSET PEAK SECURITIES LLC

CRD#: 312209 / SEC#: , 8-70684

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
416 West 13th Street, New York, NY 10014
Mailing Address
416 West 13th Street, New York, NY 10014
Phone number
(646) 661-3588
Established
Delaware since 12/08/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DORSET PEAK SOLUTIONS LLCSOLE MEMBER
LEVENTHAL, JACK ANDREWCEO/GSP2170953
ROTHENBERG, SHARI PFINOP6590875
VERDONE, JAMES JOSEPHCCO2581251

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.

Company Information

DORSET PEAK SECURITIES LLC

CRD#: 312209Summit, NJ 07901

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