John G. Orosey
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 George Orosey JR, who also goes by John George Orosey, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1977. John had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 52, Series 1, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2014 - December 11, 2017
OPPENHEIMER & CO. INC.
September 25, 2007 - December 11, 2017
OPPENHEIMER & CO. INC.
February 20, 2007 - October 10, 2007
VFINANCE INVESTMENTS, INC
October 10, 2006 - February 5, 2007
MULTI-BANK SECURITIES, INC.
January 3, 2001 - October 6, 2006
CAMBRIDGE GROUP INVESTMENTS, LTD.
December 23, 1999 - January 8, 2001
OROSEY & PEPE CAPITAL MARKETS, INC.
April 19, 1995 - November 26, 1997
LOP CAPITAL MARKETS, INC.
June 3, 1988 - April 11, 1997
LEHWALD, OROSEY & PEPE INCORPORATED
January 4, 1988 - May 25, 1988
FIRST STATE INVESTMENTS, INC.
May 16, 1985 - January 20, 1988
FIRST INVESTMENT SECURITIES, INC.
March 6, 1985 - April 16, 1985
COLLINS SECURITIES CORPORATION
May 21, 1983 - February 4, 1985
UNITED CAPITAL CORPORATION
June 2, 1980 - April 15, 1983
MARCUS, STOWELL & BEYE, INC.
April 11, 1980 - June 2, 1980
CIBC WORLD MARKETS CORP.
March 2, 1978 - March 29, 1980
UMIC, INC.
May 2, 1977 - April 18, 1978
MARCUS, STOWELL & BEYE, INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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: 4/23/1977
Registered Representative ExaminationCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
