John VicariCRD Number: 1039189
Current Firm: First Allied Advisory Services, Inc.
John Vicari (CRD# 1039189) is an Investment Advisor Representative working at First Allied Advisory Services, Inc. in Center Moriches, NY and has over 30 years of experience in the finance industry.
Royal Alliance Associates, Inc.
American Portfolios Advisors, Inc.
Woodbury Financial Services, Inc.
|First Allied Advisory Services, Inc.||Chesterfield, MO||Jul 2013 - Current||4|
|First Allied Securities, Inc.||San Diego, CA||Dec 2008 - Current||9|
|First Montauk Securities Corp.||Moriches, NY||Jan 1995 - Dec 2008||13|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 1987|
|S65||NASAA Investment Advisors Law Examination||Jun 1999|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management4,440MILLIONS
Total Number of Accounts26,339ACCOUNTS
Average Account Value$168,585
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV