John G. Smallstey
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 Gerard Smallstey Jr., who also goes by John Smallstey, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2025. John had worked at 2 firms and has passed the Series 99TO, SIE and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2025 - November 7, 2025
ONE VANDERBILT SECURITIES LLC
April 9, 2025 - April 24, 2025
SMG SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 7/22/2025
Operations Professional ExaminationSeries 28
Date: 1/23/2025
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ONE VANDERBILT SECURITIES LLC
CRD#: 332860 / SEC#: , 8-71289
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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