John W. Ezell
Professional summary
John Wayne Ezell was barred by the SEC 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 5 firms, which includes JOSEPHTHAL & CO. INC., PROSPERA FINANCIAL SERVICES INC., J.P. MORGAN SECURITIES LLC, PRINCIPAL FINANCIAL SECURITIESINC., FIRM ONE SECURITIES INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 1998 - October 8, 2001
JOSEPHTHAL & CO., INC.
February 26, 1993 - December 15, 1998
PROSPERA FINANCIAL SERVICES, INC.
June 22, 1990 - February 16, 1993
J.P. MORGAN SECURITIES LLC
June 11, 1987 - July 9, 1990
PRINCIPAL FINANCIAL SECURITIES,INC.
November 1, 1985 - June 22, 1987
FIRM ONE SECURITIES, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
JOSEPHTHAL & CO., INC.
CRD#: 3227 / SEC#: , 8-5651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHTHAL CAPITAL GROUP, INC. | PARENT | |
| AGOSTA, SALVATORE FRANK | CHIEF FINANCIAL OFFICER | 1253738 |
| FICHTNER, HENRY ARTHUR | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | 1327009 |
| FITZGERALD, PAUL HENRY | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | 812775 |
| HURLEY, KEVIN BRADY | COMPLIANCE DIRECTOR | 1293748 |
| KRONENBERG, DAVID HIRSCH | CHIEF ADMINISTRATIVE OFFICER | 1799665 |
| MATYCKAS, EDWARD STANLEY | CROP/SROP | 1405961 |
| MCCABE, DONALD GERARD | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | 1367480 |
| MCNAMARA, DENNIS PATRICK | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | 2938486 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 12 |
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