John A. Pasqualetti
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 Anthony Pasqualetti III, who also goes by John Anthony Pasqualetti, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1980. John had worked at 10 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2017 - February 20, 2018
INDEPENDENCE CAPITAL CO., INC.
March 4, 2011 - February 4, 2014
INDEPENDENCE CAPITAL CO., INC.
December 17, 2003 - April 5, 2017
INDEPENDENCE CAPITAL CO., INC.
December 14, 1999 - December 11, 2003
SICOR SECURITIES INC
April 7, 1995 - December 10, 1999
THE O.N. EQUITY SALES COMPANY
April 27, 1994 - April 18, 1995
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 22, 1993 - April 18, 1994
NATIONAL PLANNING CORPORATION
February 7, 1991 - December 10, 1992
WALNUT STREET SECURITIES, INC.
November 29, 1982 - October 21, 1989
WRP INVESTMENTS, INC.
January 4, 1982 - November 24, 1982
FIRST CLEVELAND INVESTMENTS, INC.
December 2, 1981 - April 15, 1983
GENERAL AMERICAN LIFE INSURANCE COMPANY
January 15, 1980 - December 9, 1981
FSC SECURITIES CORPORATION
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
Series 1
Date: 1/7/1980
Registered Representative ExaminationCurrent Firm
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: , 8-41331
Contact information
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 295 |
| AUM (Assets Under Management) | $ 99,922,105 |
Disclosures
| Regulatory Event | 3 |
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.
