John Rinaldi

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CRD#: 726358

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 Rinaldi JR was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1981. John had worked at 13 firms and has passed the Series 63, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 10, 1998 - March 21, 2000

BAXTER BANKS & SMITH, LTD.

CRD#: 40771

ST. PETERSBURG, FL

Past

January 30, 1998 - May 22, 1998

INTERNATIONAL BOND AND SHARE, INC.

CRD#: 43196

ST. PETERSBURG, FL

Past

November 18, 1997 - December 19, 1997

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

February 22, 1997 - August 12, 1997

ARGENT SECURITIES, INC.

CRD#: 15297

ATLANTA, GA

Past

June 15, 1995 - January 1, 1997

GROSSMAN & CO., LLC.

CRD#: 10222

DIX HILLS, NY

Past

May 11, 1995 - June 28, 1995

PRESTON LANGLEY ASSET MANAGEMENT, INC.

CRD#: 35733

NEW YORK, NY

Past

August 22, 1994 - May 5, 1995

RUSSO SECURITIES INC.

CRD#: 14425

STATEN ISLAND, NY

Past

June 6, 1992 - August 9, 1994

A.J. MICHAELS & CO., LTD.

CRD#: 19883

HAUPPAUGE, NY

Past

August 28, 1991 - June 4, 1992

ISLAND SECURITIES, INC.

CRD#: 6810

Past

March 27, 1991 - July 1, 1991

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

Past

January 13, 1984 - March 27, 1991

G. K. SCOTT & CO., INC.

CRD#: 3305

PLAINVIEW, NY

Past

April 26, 1983 - December 27, 1983

BRODIS SECURITIES INCORPORATED

CRD#: 1135

Past

March 23, 1981 - April 27, 1983

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 10/21/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/21/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 10/29/1987

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/8/1985

General Securities Principal Examination

Current Firm

BAXTER BANKS & SMITH, LTD.

CRD#: 40771 / SEC#: , 8-49185

Terminated by SEC on 05/27/2000

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 03/19/1997

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
MCDERMOTT, FRANCIS MARTIN	CEO	1013320

Disclosures

Regulatory Event	15
Arbitration	17

Red Flags

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John Rinaldi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INTERNATIONAL BOND AND SHARE, INC.

J.P. TURNER & COMPANY, L.L.C.

ARGENT SECURITIES, INC.

GROSSMAN & CO., LLC.

PRESTON LANGLEY ASSET MANAGEMENT, INC.

RUSSO SECURITIES INC.

A.J. MICHAELS & CO., LTD.

ISLAND SECURITIES, INC.

INVESTORS ASSOCIATES, INC.

G. K. SCOTT & CO., INC.

BRODIS SECURITIES INCORPORATED

BLINDER, ROBINSON & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/21/1981

Series 7

Date: 3/21/1981

Series 27

Date: 10/29/1987

Series 24

Date: 5/8/1985

Current Firm

BAXTER BANKS & SMITH, LTD.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BAXTER BANKS & SMITH, LTD.

TRUST BUT VERIFY

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