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John Walter Gillette Jr

CRD# 1336097·Registered 1985 - 1996
Barred: John Walter Gillette JR was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

John Walter Gillette JR was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1985 - 1996. John had worked at 5 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

41 years in the financial services industry

Current & Past Employments

FIRST WALL STREET CORP.·CRD# 13024
BD
La Jolla, CA
January 1, 1994 - December 3, 1996
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
July 31, 1993 - January 14, 1994
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
April 16, 1990 - July 31, 1993
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
June 3, 1987 - May 4, 1990
STONE & YOUNGBERG LLC·CRD# 795
BD
San Francisco, CA
March 19, 1985 - June 1, 1987

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Current Firm

FW
FIRST WALL STREET CORP.

1ST WALL STREET CORP OF NEVADA | FIRST WALL STREET CORP.

CRD#: 13024 / SEC#: 8-28441
BD
Terminated by SEC on 02/17/2009

Contact Information

Established

California since 09/15/1982

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
LAZZARO, CHARLES PAULPRESIDENT304489
DUDLEY, KATRINA LINDIRECTOR OF OPERATIONS/CHIEF COMPLIANCE OFFICER1471937
SWANSON, JON CRAIGROSFP5010899

Disclosures

Regulatory Event

7

Arbitration

3

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1987About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1985About the Series 7 exam

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CRS (Client Relationship Summary)

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

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JG
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