Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Kermit Tarleton is a securities professional with over 25 years of experience in the industry. John has a diverse background, having worked for several firms, including Citigroup Global Markets Inc., Lava Trading, Inc., and Fastrade, Inc. John has a strong understanding of the securities industry and has a proven track record of success. John is currently registered with UBS Securities LLC and is licensed to sell securities in New York. John holds a variety of licenses, including Series 3, 4, 7, 10, 14, 24, 27, 55, 57TO, 63, 99TO, and SIE. John is committed to providing his clients with the highest level of service and expertise.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NY
04/06/2022 - Present
UBS Securities LLC (NEW YORK NY)
NY
12/12/2014 - 11/29/2021
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MN
02/23/2016 - 06/08/2021
CITIGROUP DERIVATIVES MARKETS INC. (MINNETONKA MN)
NY
03/22/2004 - 05/18/2015
LAVAFLOW, INC. (NEW YORK NY)
NY
02/10/2009 - 07/27/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
01/19/2007 - 07/29/2008
LAVA TRADING, INC. (NEW YORK NY)
FL
01/05/2006 - 01/27/2006
FASTRADE, INC. (CLEARWATER FL)
FL
03/03/2004 - 05/03/2004
NEXTRADE (CLEARWATER FL)
NY
12/10/2002 - 02/04/2004
ONTRADE INC. (NEW YORK NY)
FL
04/01/2002 - 02/04/2004
NEXTRADE (CLEARWATER FL)
FL
09/01/1998 - 03/05/2002
INTERSECURITIES, INC. (ST. PETERSBURG FL)
NA
09/13/1988 - 11/12/1988
KAVANAUGH SECURITIES, INC.
NA
02/26/1987 - 09/01/1988
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
BC
Issued 06/16/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/26/2009
Series 14 - Compliance Officer Examination
BC
Issued 01/10/2003
Series 4 - Registered Options Principal Examination
BC
Issued 05/21/1999
Series 24 - General Securities Principal Examination
BC
Issued 08/21/1998
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/2003
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/15/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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