John A. Stanley
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 Austin Stanley was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2007 - December 31, 2016
CANTELLA & CO., INC.
May 6, 2002 - November 27, 2007
GUNNALLEN FINANCIAL, INC
April 28, 1999 - May 8, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 25, 1990 - May 4, 1999
NEWBY & COMPANY
June 14, 1988 - August 17, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
May 14, 1988 - May 28, 1988
LEHMAN BROTHERS INC.
June 28, 1982 - May 14, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/6/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
