Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Lewis Tye is a financial professional with over 20 years of experience in the industry. John has a strong background in the financial services sector, having worked for several prominent firms including Morgan Stanley & Co., Incorporated, EVP Securities, LLC, CIT Capital Securities LLC, TCP, LLC, and Edgeview Capital Securities, LLC. Currently, John is associated with Piper Sandler & Co. John has a proven track record of providing exceptional financial advice and services to a diverse range of clients.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NC
07/17/2013 - Present
Piper Sandler & Co. (CHARLOTTE NC)
NC
01/04/2011 - 07/18/2013
EDGEVIEW CAPITAL SECURITIES, LLC (CHARLOTTE NC)
NC
04/15/2010 - 12/31/2010
TCP, LLC (CHARLOTTE NC)
NC
01/04/2008 - 04/06/2010
CIT CAPITAL SECURITIES LLC (CHARLOTTE NC)
NC
08/06/2003 - 12/31/2007
EVP SECURITIES, LLC (CHARLOTTE NC)
NY
08/28/2000 - 02/28/2003
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
BC
Issued 09/24/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/27/2010
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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