John D. Mcalister
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 Dunlen Mcalister 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, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2010 - February 1, 2012
MERCHANT CAPITAL, L.L.C.
June 6, 2008 - May 31, 2010
MERCHANT CAPITAL, L.L.C.
April 23, 1999 - April 4, 2003
MOUNTAINVIEW SECURITIES, LLC
December 20, 1995 - February 9, 1999
STONE & YOUNGBERG LLC
June 24, 1993 - December 11, 1995
LAZARD FRERES & CO. LLC
May 28, 1987 - April 16, 1993
PRUDENTIAL EQUITY GROUP, LLC
July 8, 1983 - October 22, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 5
Date: 6/23/1983
Interest Rate Options ExaminationCurrent Firm
MERCHANT CAPITAL, L.L.C.
CRD#: 5680 / SEC#: , 8-34726
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| DUNN, MICHAEL PERRY | SEC/TREAS & CCO | 1175657 |
Disclosures
| Regulatory Event | 6 |
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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