John R. Pellegrino
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 Richter Pellegrino was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1976. John had worked at 6 firms and has passed the Series 63, Series 15, Series 5, Series 14, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2013 - February 26, 2014
CRAIG SCOTT CAPITAL, LLC
June 3, 2008 - April 24, 2012
LEERINK PARTNERS LLC
April 29, 2002 - November 30, 2007
RYAN BECK & CO.
July 24, 1996 - May 13, 2002
GRUNTAL & CO., L.L.C.
September 26, 1978 - July 12, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 5/3/1983
Foreign Currency Options ExaminationSeries 5
Date: 10/15/1981
Interest Rate Options ExaminationSeries 12
Date: 8/30/1976
NYSE Branch Manager ExaminationSeries 40
Date: 8/25/1976
Registered Principal ExaminationCurrent Firm
CRAIG SCOTT CAPITAL, LLC
CRD#: 155924 / SEC#: , 8-68751
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
Red Flags
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