John N. Mcniff
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 Newton Mcniff, who also goes by John Mcniff, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2015. John had worked at 2 firms and has passed the Series 66, SIE, Series 3 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
August 9, 2021 - October 22, 2021
SGI SECURITIES LLC
August 15, 2015 - July 16, 2020
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SGI SECURITIES LLC
CRD#: 155643 / SEC#: , 8-68732
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SGI MB LLC | OWNER | |
| KAPPOTIS, ERNEST DOMENIC | FINOP | 4871251 |
| SCHUPAK, ANDREW | PRESIDENT, ELECTED MANAGER, CCO |
Disclosures
| Regulatory Event | 1 |
Red Flags
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