John C. Fell
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 Cullum Fell was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 3, Series 7, Series 24, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2010 - June 7, 2023
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
November 7, 2008 - May 11, 2010
SPEARHEAD CAPITAL, LLC
July 1, 2004 - September 11, 2008
CITIGROUP GLOBAL MARKETS INC.
May 20, 2002 - November 21, 2003
HIGHTOWER SECURITIES, LLC
March 1, 2002 - April 18, 2002
ABN AMRO INCORPORATED
June 15, 2001 - March 1, 2002
ABN AMRO SECURITIES LLC
April 30, 2001 - June 18, 2001
ABN AMRO INCORPORATED
November 24, 1999 - May 22, 2001
ING FINANCIAL MARKETS LLC
June 21, 1999 - October 29, 1999
TULLETT PREBON FINANCIAL SERVICES LLC
October 7, 1997 - March 16, 1999
NEWEDGE USA, LLC
February 16, 1990 - May 13, 1996
CANTOR FITZGERALD SECURITIES
February 16, 1990 - May 13, 1996
MINT BROKERS
October 22, 1985 - June 13, 1989
KMS CORPORATE BROKERS, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
CRD#: 130847 / SEC#: , 8-66397
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANDARD CHARTERED HOLDINGS INC. | OWNER | |
| DEFILIPPO, MANDY J | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7184614 |
| HAUSCHILD, AUGUST DANIEL | ANTI MONEY LAUNDERING COMPLIANCE OFFICER | 4287421 |
| JONES, PAUL FAULKNER | CHIEF RISK OFFICER | 7630280 |
| NIELSEN, PETER | FINANCIAL AND OPERATIONS PRINCIPAL | 1072259 |
| PAULIC, JACINTA | CHIEF COMPLIANCE OFFICER, HEAD, CFCC ADVISORY FM AMERICAS | 5823367 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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