John P. Esposito
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 Peter Esposito, who also goes by Skate Pennystone, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2012 - November 15, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
January 3, 2011 - November 15, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
April 30, 1991 - January 3, 2011
FINANCIAL WEST GROUP
February 7, 1989 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
November 30, 1988 - February 14, 1989
EMMETT A LARKIN COMPANY, INC.
January 6, 1988 - November 21, 1988
FIRST AFFILIATED SECURITIES, INC.
June 16, 1986 - February 8, 1988
CIBC WORLD MARKETS CORP.
April 18, 1984 - June 20, 1986
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
Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
