John A. Raspante
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 A Raspante was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1979. John had worked at 5 firms and has passed the Series 6TO, Series 22TO, 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
Experience
January 3, 1997 - October 31, 2023
PURSHE KAPLAN STERLING INVESTMENTS
April 17, 1991 - December 31, 1996
CADARET, GRANT & CO., INC.
June 19, 1983 - July 23, 1984
AETNA LIFE INSURANCE AND ANNUITY COMPANY
July 23, 1979 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
July 23, 1979 - November 6, 1990
MONY SECURITIES CORPORATION
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 1
Date: 7/10/1979
Registered Representative ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
