John S. Simoncic
Professional summary
John Scott Simoncic was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, John had worked at 11 firms, which includes FINANCIAL WEST GROUP, SECURITIES AMERICA INC., LPS CAPITAL LLC, TORREY PINES SECURITIES INC., MISSION SECURITIES CORPORATION, CENTEX SECURITIES INCORPORATED, FORTRESS FINANCIAL GROUP LTD., PACIFIC CORTEZ SECURITIES INCORPORATED, J. W. GANT & ASSOCIATES INC., CHATFIELD DEAN & CO. INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2014 - November 28, 2016
FINANCIAL WEST GROUP
October 11, 2012 - January 8, 2014
SECURITIES AMERICA, INC.
March 12, 2012 - March 29, 2012
LPS CAPITAL LLC
November 17, 2011 - October 11, 2012
FINANCIAL WEST GROUP
March 15, 2010 - November 21, 2011
TORREY PINES SECURITIES, INC.
May 11, 2007 - August 13, 2008
MISSION SECURITIES CORPORATION
December 11, 2002 - August 7, 2006
MISSION SECURITIES CORPORATION
August 13, 1998 - June 15, 2000
CENTEX SECURITIES, INCORPORATED
March 10, 1998 - August 7, 1998
FORTRESS FINANCIAL GROUP, LTD.
January 21, 1997 - December 31, 1997
PACIFIC CORTEZ SECURITIES INCORPORATED
September 8, 1992 - January 20, 1997
CENTEX SECURITIES, INCORPORATED
March 23, 1992 - June 25, 1992
J. W. GANT & ASSOCIATES, INC.
February 14, 1992 - February 28, 1992
CHATFIELD DEAN & CO., INC.
September 23, 1982 - April 27, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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