John Palladino
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 Palladino JR, CFP®, who also goes by John Palladino, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1976. John had worked at 5 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
Start date: 1989
Experience
May 18, 2012 - July 18, 2016
SOUTHEAST INVESTMENTS, N.C., INC.
September 14, 2011 - April 9, 2012
KOVACK SECURITIES INC.
August 12, 2008 - December 7, 2009
FINANCIAL TELESIS INC
August 21, 1998 - June 15, 2006
SECURIAN FINANCIAL SERVICES, INC.
April 23, 1987 - June 15, 2006
SECURIAN FINANCIAL SERVICES, INC.
October 1, 1976 - November 10, 1986
NEW ENGLAND SECURITIES
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: 9/23/1976
Registered Representative ExaminationCurrent Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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