John S. Bartley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Sherman Bartley was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2015 - June 8, 2017
OTR GLOBAL TRADING LLC
June 10, 2013 - April 30, 2015
DISCERN SECURITIES, INC.
August 2, 2010 - July 1, 2011
MORGAN JOSEPH TRIARTISAN LLC
March 16, 2009 - July 20, 2010
SOLEIL SECURITIES CORPORATION
June 6, 2008 - March 16, 2009
STANFORD GROUP COMPANY
August 24, 2005 - May 21, 2008
PACIFIC GROWTH EQUITIES, LLC
April 15, 2002 - August 15, 2005
W.R. HAMBRECHT + CO., LLC
March 28, 1997 - April 16, 2002
LEHMAN BROTHERS INC.
February 20, 1991 - March 31, 1997
MORGAN STANLEY DW INC.
November 27, 1981 - March 6, 1987
PERSHING LLC
State Registrations and Notice Filings
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Exams
Current Firm
OTR GLOBAL TRADING LLC
CRD#: 138116 / SEC#: , 8-67147
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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