John R. Sobosan
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 Richard Sobosan, who also goes by John Sobo, Sobo Sobosan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2007 - February 14, 2022
HARTFIELD, TITUS & DONNELLY, LLC
June 17, 2002 - October 4, 2007
MUNICIPAL PARTNERS, LLC
March 15, 2002 - August 8, 2002
MINT BROKERS
October 25, 2000 - December 3, 2001
MARKETAXESS CORPORATION
June 5, 1990 - June 16, 2000
MUNICIPAL PARTNERS INC.
April 24, 1989 - May 15, 1990
J.J. KENNY DRAKE, INC.
October 15, 1984 - April 24, 1989
CLIFFORD DRAKE & COMPANY INC.
October 26, 1983 - November 26, 1988
DAHLKE & CO., 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
HARTFIELD, TITUS & DONNELLY, LLC
CRD#: 7117 / SEC#: , 8-18974
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PURPORA CONSULTING,INC. | DIRECT OWNER | |
| CALDAS, JOSEPH JAMES | DIRECT OWNER | 501739 |
| CARRINGTON, MICHAEL SUGHRUE | DIRECT OWNER | 2716358 |
| EMANUEL, PAUL JOSEPH | DIRECT OWNER | 2330590 |
| INFUSINO, RICHARD ANGELO JR | DIRECT OWNER | 5668679 |
| MUSTACCHIO, LOUIS JOSEPH JR | DIRECT OWNER | 1656435 |
| O'MALLEY, DEREK JOHN | DIRECT OWNER | 4369620 |
| PAULEY, MATTHEW CHRISTOPHER | DIRECT OWNER | 2280671 |
| FERRERI, CHRISTOPHER CHARLES | DIRECT OWNER | 1677406 |
| GEORGE, MICHAEL THEODORE | FINOP & TREASURER | |
| HOFFMAN, EDWARD KELLY | DIRECT OWNER | 2295024 |
| JOHNSON, MARYBETH | DIRECT OWNER | 2123615 |
| MCCUE, JAMES GERARD | DIRECT OWNER | 2037468 |
| MULVIHILL, CAROLYN CROWE | DIRECT OWNER | 1968504 |
| NOTINE, TODD ROBERT | DIRECT OWNER | 1595766 |
| PALLARINO, JOHN GUY | DIRECT OWNER | 2282884 |
| SMITH, EDWARD JOHN | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY AND DIRECT OWNER | 4161601 |
| VANDERBEEK, TAYLOR JAMES | DIRECT OWNER | 6339397 |
| VINJE, NATALIE GRIFFIN | DIRECT OWNER | 3135251 |
Disclosures
| Regulatory Event | 1 |
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.
