John P. Annicelli
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 Peter Annicelli was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1971. John had worked at 8 firms and has passed the Series 65, Series 63, Series 3, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2007 - December 2, 2008
MORGAN STANLEY & CO. LLC
September 29, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
July 29, 1999 - July 25, 2002
CITIGROUP GLOBAL MARKETS INC.
May 10, 1995 - April 30, 2004
CITIGROUP GLOBAL MARKETS INC.
November 21, 1984 - April 28, 1995
PRUDENTIAL EQUITY GROUP, LLC
July 21, 1984 - November 16, 1984
JESUP & LAMONT SECURITIES CO., INC.
February 17, 1983 - February 25, 1983
J.P. MORGAN SECURITIES LLC
April 13, 1978 - October 2, 1980
AMERICAN SECURITIES BD CO., L.P.
November 20, 1972 - January 31, 1978
LOEB, RHOADES & CO., INCORPORATED
February 12, 1971 - October 7, 1972
CITIGROUP GLOBAL MARKETS 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
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 2/11/1971
Registered Representative ExaminationSeries 40
Date: 12/20/1973
Registered Principal ExaminationCurrent Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
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.
