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JC

John D. Carton

COVIEW CAPITAL
New York, NY 10017
Some features on this profile are disabled
CRD#: 1257314
JC

Professional summary

John David Carton is a registered financial professional currently at COVIEW CAPITAL, INC. located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1984. John has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

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) - BD

Click below to view John David Carton's CRS (Customer Relationship Summary).

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

Current

March 29, 2011 - Present

COVIEW CAPITAL, INC.

Office #1: 780 Third Avenue Suite 1501, New York, NY 10017
BD
CRD#: 35842
New York, NY
Past

November 4, 2004 - June 3, 2009

BURNHAM SECURITIES INC.

BD
CRD#: 22549
NEW YORK, NY
Past

October 31, 2003 - March 16, 2004

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

December 4, 1998 - November 20, 2001

BNY CAPITAL MARKETS INC.

BD
CRD#: 18303
NEW YORK, NY
Past

December 6, 1989 - December 4, 1998

PATRICOF SECURITIES CORP.

BD
CRD#: 23580
NEW YORK, NY
Past

June 14, 1984 - December 18, 1987

J. HENRY SCHRODER CORPORATION

BD
CRD#: 14126

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(3/29/2011)
RR
Connecticut
(3/29/2011)
RR
New Jersey
(3/29/2011)
RR
New York
(3/29/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 6/26/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/1/1991
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
COVIEW CAPITAL, INC.
COVIEW CAPITAL, INC.

CRD#: 35842 / SEC#: , 8-47081

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
780 Third Avenue Suite 1501, New York, NY 10017
Mailing Address
780 Third Avenue Suite 1501, New York, NY 10017
Phone number
(212) 750-0011
Established
Delaware since 11/10/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
YELLIN, SAMUELPRESIDENT2119284
MOH, KEITH ERICCHIEF COMPLIANCE OFFICER2304325

Disclosures

Regulatory Event2

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

COVIEW CAPITAL, INC.

CRD#: 35842New York, NY 10017

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