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JOHN N KALIL JR
JOHN N JR KALIL
CRD#: 2455833
IA
B
ESI FINANCIAL ADVISORSCRD#: 265 1407 ROUTE 9
BUILDING 4 - 2ND FLOOR
CLIFTON PARK, NY 12065
BUILDING 4 - 2ND FLOOR
CLIFTON PARK, NY 12065
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11/23/2016
Employment Separation After Allegations
3/9/1999
Customer Dispute
Settled
State Registrations
B
Florida 11/8/2022
B
New York 11/8/2022
IA
New York 11/7/2022
B
North Carolina 11/8/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 11/7/2022
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Registered with this firm since 11/7/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/13/2021 - 11/04/2022 | Saratoga Springs, NY | |
B | 01/11/2017 - 11/04/2022 | SARATOGA SPRINGS, NY | |
B | 07/21/2016 - 11/25/2016 | LATHAM, NY | |
B | 10/10/2014 - 07/26/2016 | NEW HARTFORD, NY | |
B | 12/14/2004 - 10/03/2014 | NEW HARTFORD, NY | |
B | 09/23/2003 - 12/14/2004 | CHARLOTTE, NC | |
B | 09/05/2001 - 10/06/2003 | CAZENOVIA, NY | |
B | 06/07/2000 - 09/20/2001 | SCOTTSDALE, AZ | |
B | 05/03/1999 - 06/06/2000 | NEW YORK, NY | |
B | 03/31/1998 - 05/03/1999 | NEW YORK, NY | |
B | 01/21/1997 - 03/06/1998 | OMAHA, NE |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.