John D. Curry
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 David Curry was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2012 - April 19, 2024
CAPFINANCIAL SECURITIES, LLC.
April 7, 2011 - March 30, 2012
PROFUNDS DISTRIBUTORS, INC.
July 7, 2006 - March 14, 2011
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 1, 2001 - July 25, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
December 9, 1992 - January 8, 2001
WACHOVIA SECURITIES, INC.
July 25, 1991 - December 1, 1992
FIRST UNION CAPITAL MARKETS CORP.
February 14, 1989 - October 23, 1990
UVEST FINANCIAL SERVICES GROUP, INC.
January 29, 1987 - October 23, 1990
UVEST BROKERAGE SERVICES
October 22, 1986 - November 13, 1986
MICHELIN AND COMPANY, 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
Current Firm
CAPFINANCIAL SECURITIES, LLC.
CRD#: 126291 / SEC#: , 8-65870
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CAPFINANCIAL GROUP, LLC | MEMBER | |
| BUCHANAN, DENISE MCGEE | CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO | 1284353 |
| EARLS, MARY CHRISTINE | SENIOR DIRECTOR/FINOP | 6178047 |
| HOYLE, WILSON SMITH III | MANAGING DIRECTOR | 2444392 |
| SHOFF, DERICK DON | MANAGING DIRECTOR | 1140640 |
| STROTHER, MICHAEL DAVID | SENIOR DIRECTOR, FINOP | 2457427 |
Disclosures
| Regulatory Event | 1 |
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.
