John -. Crocker
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 - Crocker III, who also goes by John - Crocker III, John - Crocker, John Crocker, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 13 firms and has passed the Series 63, Series 79TO, SIE, Series 7 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
August 14, 2023 - August 6, 2025
FIRST AVENUE
January 23, 2023 - July 7, 2023
BERCHWOOD PARTNERS LLC
March 7, 2022 - December 21, 2022
ACERVUS SECURITIES, INC.
July 6, 2016 - March 4, 2022
BERCHWOOD PARTNERS LLC
June 27, 2013 - December 15, 2015
DC ADVISORY
October 26, 2011 - January 3, 2013
DWS DISTRIBUTORS, INC.
November 23, 2010 - November 1, 2011
ATLANTIC - PACIFIC CAPITAL, INC.
May 16, 2005 - November 4, 2010
CITIGROUP GLOBAL MARKETS INC.
May 8, 2003 - July 28, 2005
CAPITAL Z SECURITIES, LLC
November 3, 2000 - April 15, 2003
CREDIT SUISSE SECURITIES (USA) LLC
October 8, 1996 - September 20, 2002
PERSHING LLC
May 8, 1990 - September 16, 1996
CITICORP SECURITIES, INC.
September 13, 1988 - March 28, 1990
C&W REALTY CAPITAL CORPORATION
June 25, 1986 - February 26, 1988
KIDDER, PEABODY & CO. INCORPORATED
March 22, 1983 - June 20, 1986
PERSHING LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
FIRST AVENUE
CRD#: 145860 / SEC#: , 8-67758
Contact information
FINRA licenses (51 States and Territories)
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.
