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JOHN JAMES PALLOTTA III
JOHN JAMES III PALLOTTA
CRD#: 2015789
IA
Investment Adviser
B
Broker
PRINCIPAL SECURITIES, INC.CRD#: 1137 BASKING RIDGE, NJ
Registration History
19901995200020052010201520202025IAPRINCIPAL SECURITIES, INC. (CRD# 1137)2005 - Present (19 years)BPRINCIPAL SECURITIES, INC. (CRD# 1137)1990 - Present (34 years)
License(s)

State Registrations

B
Alabama 10/12/2023

B
Nebraska 12/6/2022

B
Alaska 7/24/2023

B
Nevada 12/8/2022

B
California 2/10/2023

B
New Hampshire 11/29/2022

B
Colorado 12/4/2022

B
New Jersey 7/11/1997

B
Connecticut 11/18/2022

IA
New Jersey 3/4/2005

B
Delaware 12/7/2022

B
New Mexico 1/12/2023

B
Florida 1/15/2023

B
New York 1/28/2004

B
Georgia 2/10/2023

B
North Carolina 11/4/2022

B
Hawaii 10/23/2024

B
North Dakota 12/4/2022

B
Idaho 12/7/2023

B
Ohio 12/7/2022

B
Illinois 12/4/2022

B
Pennsylvania 11/4/2022

B
Kansas 12/4/2022

B
Rhode Island 12/10/2022

B
Kentucky 11/18/2022

B
Tennessee 1/30/2023

B
Maryland 8/8/2024

B
Texas 12/11/2022

B
Massachusetts 4/6/2023

B
Utah 7/24/2023

B
Michigan 11/12/2024

B
Virginia 7/24/2023

B
Minnesota 12/4/2022

B
Washington 6/28/2023

B
Missouri 7/12/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRINCIPAL SECURITIES, INC. (CRD#:1137)
BASKING RIDGE, NJ
Registered with this firm since 3/4/2005

B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
BASKING RIDGE, NJ
Registered with this firm since 3/6/1990

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B
Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.