John B. Dexter
Professional summary
John Boyd Dexter 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 professional and started their career in finance in 1985. Prior to being barred, John had worked at 8 firms, which includes W.A. CAPITAL MARKETS, FIRST AMERICAN CAPITAL AND TRADING CORPORATION, LADENBURG THALMANN & CO. INC., LADENBURG CAPITAL MANAGEMENT INC., NORTH AMERICAN INSTITUTIONAL BROKERS, BARRON CHASE SECURITIES INC., WAKEFIELD FINANCIAL CORPORATION, FITZGERALD DEARMAN & ROBERTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2006 - July 2, 2012
W.A. CAPITAL MARKETS
June 16, 2003 - July 3, 2006
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
June 11, 2002 - June 16, 2003
LADENBURG THALMANN & CO. INC.
June 28, 1999 - August 27, 2002
LADENBURG CAPITAL MANAGEMENT INC.
March 18, 1991 - July 7, 1999
NORTH AMERICAN INSTITUTIONAL BROKERS
December 15, 1988 - March 15, 1991
BARRON CHASE SECURITIES, INC.
August 16, 1988 - December 13, 1988
WAKEFIELD FINANCIAL CORPORATION
April 26, 1985 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
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
Series 55
Date: 7/31/1999
Limited Representative-Equity Trader ExamCurrent Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
Red Flags
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