John S. Orfanos
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 Stamos Orfanos III, who also goes by John Stamos Orfanos, John Stamos III Orfanos, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2017 - September 18, 2018
FNBB CAPITAL MARKETS, LLC
December 2, 2014 - November 8, 2016
SIMMONS FIRST INVESTMENT GROUP, INC.
July 30, 2004 - December 2, 2014
SIMMONS FIRST INVESTMENT GROUP, INC.
November 1, 1999 - September 6, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 8, 1989 - February 6, 1990
MORGAN KEEGAN & COMPANY, LLC
May 13, 1988 - May 8, 1989
T. J. RANEY & SONS, INC.
May 12, 1987 - April 7, 1988
GOVERNMENT SECURITIES DEALERS
February 22, 1985 - September 23, 1986
TMA GOVERNMENT SECURITIES, LTD.
July 17, 1984 - November 19, 1984
BRITTENUM & ASSOCIATES, INC.
November 24, 1982 - July 24, 1984
UNITED CAPITAL CORPORATION
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
Current Firm
FNBB CAPITAL MARKETS, LLC
CRD#: 132091 / SEC#: , 8-66553
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST NATIONAL BANKER'S BANKSHARES, INC. | PARENT COMPANY | |
| BOUDREAUX, LAURA J. | PRINCIPAL/CHIEF COMPLIANCE OFFICER/CFO/FINOP/AML OFFICER/PRINCIPAL FINANCIAL OFFICER | 4823412 |
| CORTS, CHRISTIAN HAAS | PRESIDENT/CHIEF EXECUTIVE OFFICER/DESIGNATED PRINCIPAL/EVP/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER | 2581628 |
| QUINLAN, JOSEPH FRANCIS JR | MEMBER | 1579877 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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