John R. Calia
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 Richard Calia was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 6 firms and has passed the Series 63 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
May 7, 2008 - October 26, 2009
JESUP & LAMONT SECURITIES CORP
May 23, 2006 - January 14, 2008
RICE FINANCIAL PRODUCTS COMPANY
February 10, 2005 - May 31, 2006
M. R. BEAL & COMPANY
June 11, 2003 - May 3, 2004
PIPER SANDLER & CO.
February 27, 1984 - February 20, 2003
LEHMAN BROTHERS INC.
April 13, 1981 - February 22, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
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
Current Firm
JESUP & LAMONT SECURITIES CORP
CRD#: 39056 / SEC#: , 8-48893
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JESUP AND LAMONT, INC | OWNER | |
| HOLUB, WILLIAM C | FINOP, CFO, COO, CCO | 2680290 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 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.
