John L. Valentine
Professional summary
John Leo Valentine was barred by both the FINRA and 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 1986. Prior to being barred, John had worked at 10 firms, which includes PURSHE KAPLAN STERLING INVESTMENTS, SECURITIES AMERICA INC., VALENTINE CAPITAL ASSET MANAGEMENT INC., GENEOS WEALTH MANAGEMENT INC., VALENTINE & ASSOCIATES INC., VALENTINE CAPITAL ASSET MANAGEMENT, LPL FINANCIAL LLC, KIDDER PEABODY & CO. INCORPORATED, LEHMAN BROTHERS INC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2010 - November 11, 2011
PURSHE KAPLAN STERLING INVESTMENTS
June 23, 2008 - February 1, 2010
SECURITIES AMERICA, INC.
August 9, 2006 - May 10, 2016
VALENTINE CAPITAL ASSET MANAGEMENT, INC.
May 2, 2005 - April 21, 2008
GENEOS WEALTH MANAGEMENT, INC.
June 13, 2003 - March 24, 2004
VALENTINE & ASSOCIATES, INC.
May 4, 1998 - August 10, 2006
VALENTINE CAPITAL ASSET MANAGEMENT
September 8, 1997 - May 5, 2005
SECURITIES AMERICA, INC.
May 20, 1993 - September 12, 1997
LPL FINANCIAL LLC
January 23, 1991 - May 3, 1993
KIDDER, PEABODY & CO. INCORPORATED
May 20, 1988 - February 8, 1991
LEHMAN BROTHERS INC.
May 21, 1986 - June 11, 1988
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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