John E. Flanagan
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 Edward Flanagan JR, who also goes by John Edward Flanagan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 1992 - February 23, 1996
DIME SECURITIES, INC.
July 17, 1991 - May 20, 1992
INVEST FINANCIAL CORPORATION
April 6, 1988 - June 24, 1991
BROADPOINT DESCAP
December 3, 1986 - January 21, 1988
CITIGROUP GLOBAL MARKETS INC.
April 18, 1986 - March 7, 1987
LEHMAN BROTHERS INC.
January 25, 1983 - May 22, 1986
PRUDENTIAL EQUITY GROUP, LLC
January 19, 1983 - February 2, 1983
LEHMAN BROTHERS 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
Current Firm
DIME SECURITIES, INC.
CRD#: 28955 / SEC#: , 8-44042
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE DIME AGENCY, INC | OWNER | |
| BERGMAN, SUSAN BRISCHLER | GP | 3077252 |
| CALVO, JOEL | PRESIDENT | 857420 |
| CIANCARELLI, STEPHEN VINCENT | CHIEF FINANCIAL OFFICER | 2225753 |
| CURTH, GEORGE WILLIAM | VICE PRESIDENT & GROUP SALES MANAGER/GP | 1407456 |
| GAMBARO, ANTHONY JOSEPH | OPERATIONS MANAGER/GP | 217167 |
| GOLDSMITH, STACY MARI | VP, REGIONAL SALES MANAGER, GP,MP | 1416323 |
| HEINES, BRUCE GARY | REGIONAL SALES MANAGER/GP | 1828701 |
| HENSELMAN, HANS DIETER | CROP, SROP | 2320564 |
| NEWMAN, JOHN FRANKLIN | VICE PRESIDENT/COMPLIANCE OFFICER/PG/MP/GP | 1751371 |
| PASTER, MARIA | ROP/GP/PG | 1312837 |
| RUSSELL, SHAVAUGHN ALETHIA | GP,PG | 2000748 |
| SIMONSON, MARY KATHRYN | CHIEF COMPLIANCE OFFICER | 1297398 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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