John D. Whittle
Professional summary
John D Whittle, who also goes by John Donald Whittle, John Whittle, is a registered financial professional currently at BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC located in Newark, New Jersey.
John is registered as a RR (Registered Representative) and started their career in finance in 2013. John has worked at 4 firms and has passed the SIE, Series 99 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John D Whittle's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 12, 2024 - Present
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
Office #1: 2 Gateway Center 283-299 Market St., Newark, NJ 07102-5005Office #2: 300 Executive Drive, Edgewood, NY 11717July 12, 2021 - January 23, 2023
UBS SECURITIES LLC
January 12, 2016 - July 12, 2021
UBS ASSET MANAGEMENT (US) INC.
February 1, 2013 - January 8, 2016
GOLDMAN SACHS & CO. LLC
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
FINRA
Current Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
Red Flags
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