John R. Liegey
Professional summary
John Richard Liegey was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, John had worked at 6 firms, which includes WESTON INTERNATIONAL CAPITAL MARKETS LLC, WESTON CAPITAL MARKETS INC., MORGAN STANLEY DW INC., WESTPAC POLLOCK & CO. INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2004 - October 24, 2011
WESTON INTERNATIONAL CAPITAL MARKETS LLC
June 6, 1994 - February 5, 2002
WESTON CAPITAL MARKETS INC.
January 15, 1985 - January 26, 1988
MORGAN STANLEY DW INC.
October 29, 1982 - November 29, 1984
WESTPAC POLLOCK & CO. INC.
September 26, 1978 - September 14, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 5, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WESTON INTERNATIONAL CAPITAL MARKETS LLC
CRD#: 130742 / SEC#: , 8-66384
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LIEGEY, JOHN RICHARD | CHIEF COMPLIANCE OFFICER | 846047 |
| LIEGEY, JOHN RICHARD | PRESIDENT/CEO |
Disclosures
| Regulatory Event | 4 |
Red Flags
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