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JD

John W. Dubrule

Some features on this profile are disabled
CRD#: 1223724
JD

Professional summary

John Warren Dubrule was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, John had worked at 9 firms, which includes MERRIMAC CORPORATE SECURITIES INC., SIGNATURE ASSET MANAGEMENT, BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., CAPITAL SECURITIES OF AMERICA INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, JWGENESIS FINANCIAL GROUP INC, CHATFIELD DEAN & CO. INC., THE STUART-JAMES COMPANY INCORPORATED, BLINDER ROBINSON & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 27, 2009 - September 6, 2013

MERRIMAC CORPORATE SECURITIES, INC.

RIA
CRD#: 35463
ALTAMONTE SPRINGS, FL
Past

September 9, 2008 - September 6, 2013

MERRIMAC CORPORATE SECURITIES, INC.

BD
CRD#: 35463
ALTAMONTE SPRINGS, FL
Past

March 10, 2006 - December 31, 2010

SIGNATURE ASSET MANAGEMENT

RIA
CRD#: 141922
ORLANDO, FL
Past

March 9, 2006 - August 30, 2006

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA
CRD#: 13609
ORLANDO, FL
Past

November 4, 2005 - August 30, 2006

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
ORLANDO, FL
Past

February 6, 2004 - October 31, 2005

CAPITAL SECURITIES OF AMERICA, INC.

BD
CRD#: 36405
ORLANDO, FL
Past

January 2, 2001 - February 12, 2004

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
ORLANDO, FL
Past

January 2, 2001 - February 12, 2004

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

January 4, 1999 - January 2, 2001

JWGENESIS FINANCIAL GROUP, INC

BD
CRD#: 38166
BOCA RATON, FL
Past

November 27, 1990 - January 4, 1999

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past

August 3, 1990 - December 3, 1990

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691
DENVER, CO
Past

December 22, 1983 - October 18, 1990

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/2/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/9/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/3/1985
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/2/1985
Registered Options Principal Examination

Current Firm

MC
MERRIMAC CORPORATE SECURITIES, INC.
MERRIMAC ASSET MANAGEMENT | MERRIMAC CORPORATE SECURITIES, INC.

CRD#: 35463 / SEC#: , 8-46721

BD
Cancelled by SEC on 10/26/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New Hampshire since 10/20/1993
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TEAM ADVISORY CORPORATE, INC.SHAREHOLDER

Disclosures

Regulatory Event7
Arbitration2

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.

Company Information

MERRIMAC CORPORATE SECURITIES, INC.

CRD#: 35463

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