John C. Astori

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CRD#: 1466833

Professional summary

John Cronin Astori was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John Cronin Astori was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1986. John had worked at 13 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 3, 2009 - November 4, 2009

DMK ADVISOR GROUP, INC.

CRD#: 41067

LUTZ, FL

Past

April 6, 2006 - November 6, 2008

BREWER FINANCIAL SERVICES, LLC

CRD#: 132558

CHICAGO, IL

Past

October 16, 1997 - March 20, 2006

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

SCOTTSDALE, AZ

Past

August 16, 1996 - October 16, 1997

SAPERSTON FINANCIAL INC.

CRD#: 27863

BUFFALO, NY

Past

July 5, 1995 - June 21, 1996

BOLTON GLOBAL CAPITAL

CRD#: 15650

BOLTON, MA

Past

January 7, 1991 - June 30, 1995

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

November 12, 1990 - December 31, 1990

TAMARON INVESTMENTS, INC.

CRD#: 14929

ENGLEWOOD, CO

Past

April 20, 1990 - November 20, 1990

BRENNAN ROSS SECURITIES, INC.

CRD#: 18363

Past

August 17, 1989 - April 12, 1990

HORIZONS INTERNATIONAL CORPORATION

CRD#: 20530

Past

February 8, 1989 - August 29, 1989

HUBERMAN SECURITIES CORP.

CRD#: 10133

Past

July 13, 1988 - February 16, 1989

G. K. SCOTT & CO., INC.

CRD#: 3305

Past

December 22, 1986 - July 16, 1988

BROWNSTONE-SMITH SECURITIES CORP.

CRD#: 17118

Past

March 19, 1986 - December 22, 1986

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DMK ADVISOR GROUP, INC.

DMK ADVISOR GROUP, INC. | STEPHEN A. KOHN & ASSOCIATES, LTD.

CRD#: 41067 / SEC#: 801-121389, 8-49279

RIA

Registered Investment Advisory firm - SEC (6/3/2021 Approved)

Arizona

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (12/31/2004 Terminated)

California

Registered Investment Advisory firm - SEC (7/8/2021 Terminated)

Colorado

Registered Investment Advisory firm - SEC (6/10/2021 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (6/10/2021 Terminated)

Delaware

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (10/18/2001 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Georgia

Registered Investment Advisory firm - SEC (7/15/2021 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/31/2005 Terminated)

Illinois

Registered Investment Advisory firm - SEC (12/31/2004 Terminated)

Kansas

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Maine

Registered Investment Advisory firm - SEC (9/5/2003 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (2/15/2002 Terminated)

Michigan

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (10/18/2001 Terminated)

Missouri

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Nevada

Registered Investment Advisory firm - SEC (12/31/2004 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (6/28/2021 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (12/31/2004 Terminated)

New York

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/9/2021 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/9/2021 Terminated)

Puerto Rico

Registered Investment Advisory firm - SEC (6/3/2021 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (6/9/2021 Terminated)

Washington

Registered Investment Advisory firm - SEC (10/8/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/7/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/23/1988

General Securities Principal Examination

Current Firm

DMK ADVISOR GROUP, INC.

DMK ADVISOR GROUP, INC. | STEPHEN A. KOHN & ASSOCIATES, LTD.

CRD#: 41067 / SEC#: 801-121389, 8-49279

RIA

Registered Investment Advisory firm - SEC (6/3/2021 Approved)

Arizona

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (12/31/2004 Terminated)

California

Registered Investment Advisory firm - SEC (7/8/2021 Terminated)

Colorado

Registered Investment Advisory firm - SEC (6/10/2021 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (6/10/2021 Terminated)

Delaware

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (10/18/2001 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Georgia

Registered Investment Advisory firm - SEC (7/15/2021 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/31/2005 Terminated)

Illinois

Registered Investment Advisory firm - SEC (12/31/2004 Terminated)

Kansas

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Maine

Registered Investment Advisory firm - SEC (9/5/2003 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (2/15/2002 Terminated)

Michigan

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (10/18/2001 Terminated)

Missouri

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

Nevada

Registered Investment Advisory firm - SEC (12/31/2004 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (6/28/2021 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (12/31/2004 Terminated)

New York

Registered Investment Advisory firm - SEC (6/8/2021 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/9/2021 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/9/2021 Terminated)

Puerto Rico

Registered Investment Advisory firm - SEC (6/3/2021 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (6/9/2021 Terminated)

Washington

Registered Investment Advisory firm - SEC (10/8/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

17961 Hunting Bow Circle Suite 102, Lutz, FL 33558

Mailing Address

17961 Hunting Bow Circle Suite 102, Lutz, FL 33558

Phone number

(303) 470-5664

Established

Colorado since 04/30/1996

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

SEC notice filing (34 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (5/20/2025)

PETER WYROUGH ADV 2024 (5/20/2025)

FORM ADV PART 2A (5/20/2025)

RUBEN RODRIGUEZ ADV 2024 (5/20/2025)

RYAN MULLER ADV 2024 (5/20/2025)

STEVEN KOHN ADV 2024 (5/20/2025)

STEVEN WESTVEER ADV 2024 (5/20/2025)

SUNIL MISRA ADV 2024 (5/20/2025)

CHRISTINE CAGLE 2024 ADV (5/20/2025)

HAL SCHWARTZ ADV 2024 (5/20/2025)

JORGE PEREZ ADV 2024 (5/20/2025)

KELVIN DOUGLAS ADV 2024 (5/20/2025)

MELISSA WAGNER ADV 2024 (5/20/2025)

MICHAEL BLACKMORE ADV 2024 (5/20/2025)

DMK ADVISOR GROUP INC 2024 FORM CRS (5/20/2025)

Direct owners and executive officers

Name	Position	CRD#
DESAI, JANAK R	DIRECTOR	6307455
DOUGLAS, KELVIN RAY	DIRECTOR	4723703
MISRA, SUNIL DUTT	DIRECTOR/PRINCIPAL	5617829
PEREZ, JORGE RAMON	DIRECTOR	2253547
SCHWARTZ, HAROLD ALAN	CEO/PRINCIPAL	841225
BASKETT, ERIN ELAINE	CHIEF COMPLIANCE OFFICER	4538604
GALLIGAN, PETER B	FINOP	1873304
GROSMAN, BARRY JULIAN	DIRECTOR	7967542
KOHN, STEPHEN ALAN	MUNI PRINCIPAL	1267211
OHMAN, JOHN DAVID	ROP/CROP	1059085

Regulatory assets under management

Total Number of Accounts	469
AUM (Assets Under Management)	$ 84,480,870

Disclosures

Regulatory Event

Red Flags

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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Firm Stability Insights

John C. Astori

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BREWER FINANCIAL SERVICES, LLC

LASALLE ST SECURITIES, L.L.C.

SAPERSTON FINANCIAL INC.

BOLTON GLOBAL CAPITAL

SECURITIES AMERICA, INC.

TAMARON INVESTMENTS, INC.

BRENNAN ROSS SECURITIES, INC.

HORIZONS INTERNATIONAL CORPORATION

HUBERMAN SECURITIES CORP.

G. K. SCOTT & CO., INC.

BROWNSTONE-SMITH SECURITIES CORP.

THE STUART-JAMES COMPANY, INCORPORATED

Primary Firm SEC Registration

DMK ADVISOR GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/7/1986

Series 7

Date: 3/15/1986

Series 24

Date: 2/23/1988

Current Firm

DMK ADVISOR GROUP, INC.

Contact information

SEC notice filing (34 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

DMK ADVISOR GROUP, INC.

TRUST BUT VERIFY

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