Vernon W. Shiflett
Professional summary
Vernon Wood Shiflett was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Vernon is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Vernon had worked at 12 firms, which includes CAPITAL BROKERAGE CORPORATION, FORTH FINANCIAL SECURITIES CORPORATION, 1717 CAPITAL MANAGEMENT COMPANY, MONY SECURITIES CORPORATION, JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., VP DISTRIBUTORS LLC, CADARET GRANT & CO. INC., DENMARK INVESTMENT SERVICES INC., WS GRIFFITH SECURITIES INC., CARDELL & ASSOCIATES INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 1997 - September 3, 1999
CAPITAL BROKERAGE CORPORATION
April 22, 1996 - December 1, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
March 25, 1994 - March 15, 1996
1717 CAPITAL MANAGEMENT COMPANY
May 19, 1993 - March 28, 1994
MONY SECURITIES CORPORATION
January 14, 1992 - May 21, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 14, 1992 - May 21, 1993
SIGNATOR INVESTORS, INC.
August 28, 1991 - December 6, 1991
VP DISTRIBUTORS LLC
January 31, 1990 - August 6, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 31, 1990 - August 6, 1991
SIGNATOR INVESTORS, INC.
October 2, 1989 - December 31, 1989
CADARET, GRANT & CO., INC.
November 19, 1987 - October 2, 1989
CADARET, GRANT & CO., INC.
June 8, 1987 - October 23, 1987
DENMARK INVESTMENT SERVICES, INC.
February 5, 1985 - March 11, 1986
WS GRIFFITH SECURITIES, INC.
July 9, 1984 - October 30, 1984
CARDELL & ASSOCIATES, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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