Florida Files Regulatory Action Against John Peter Curcio 

John Peter Curcio (CRD #: 2400652), a broker registered with Ameriprise Financial Services, is the subject of a pending regulatory action and pending criminal charges, according to his BrokerCheck record, accessed on January 4, 2025. If you have questions about his alleged conduct as a broker, keep reading.

Florida Regulatory Action

On December 19, 2024, the Florida Office of Financial Regulation filed a regulatory action against John Peter Curcio, alleging that he made a materially false statement on his application for registration. This action is currently pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Criminal Charges

On August 25, 2021, two felony charges were filed against John Peter Curcio. These charges are currently pending.

Background Information

John Peter Curcio has passed the following exams:

• General Securities Principal Examination – Series 24
• Securities Industry Essentials Examination – SIE
• National Commodity Futures Examination – Series 3
• General Securities Representative Examination – Series 7
• Uniform Combined State Law Examination – Series 66
• Uniform Securities Agent State Law Examination – Series 63

John Peter Curcio is a registered broker in California, Georgia, and South Carolina. He is also a registered investment adviser in Georgia.

He has also worked for the following firms:

• Fidelity Personal and Workplace Advisors (CRD#:288590)
• Fidelity Brokerage Services (CRD#:7784)
• Raymond James & Associates (CRD#:705)
• AllianceBernstein (CRD#:108477)
• Sanford C. Bernstein & Company (CRD#:104474)
• Sandler, O’Neill & Partners (CRD#:23328)
• Goldman, Sachs & Company (CRD#:361)

Kurta Law Can Help

If you worked with John Peter Curcio and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.