John T. Begley
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 Thomas Begley was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 7 firms and has passed the SIE 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
May 31, 2017 - February 1, 2018
LEK SECURITIES CORPORATION
January 16, 2015 - June 1, 2017
DINOSAUR FINANCIAL GROUP, L.L.C
September 18, 2006 - January 15, 2015
W.A. CAPITAL MARKETS
February 10, 2005 - September 18, 2006
MCFADDEN, FARRELL & SMITH, L.P.
June 26, 1998 - February 10, 2005
TULLETT PREBON FINANCIAL SERVICES LLC
May 30, 1990 - June 12, 1998
CHAPDELAINE CORPORATE SECURITIES & CO
April 19, 1983 - May 23, 1990
FINANCIAL SQUARE PARTNERS
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
LEK SECURITIES CORPORATION
CRD#: 33135 / SEC#: , 8-42152
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 42 |
| Civil 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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