John E. Sholl
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 Ellsworth Sholl III, who also goes by III Jack Sholl, John Ellsworth Sholl, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 12 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2016 - July 9, 2021
FIDELITY DISTRIBUTORS COMPANY LLC
January 6, 2009 - May 12, 2016
PYRAMIS DISTRIBUTORS CORPORATION LLC
August 14, 2007 - February 2, 2009
FIDELITY DISTRIBUTORS COMPANY LLC
September 28, 2006 - June 8, 2007
MELLON FUNDS DISTRIBUTOR, L.P.
February 10, 2005 - October 2, 2006
MBSC, LLC
June 3, 2004 - July 26, 2004
THINKEQUITY LLC
April 19, 2004 - May 27, 2004
COWEN PRIME SERVICES TRADING LLC
July 15, 2002 - April 16, 2004
TERRA NOVA FINANCIAL, LLC
May 11, 1999 - April 20, 2001
ROBERTSON STEPHENS, INC.
October 9, 1998 - June 9, 1999
PACIFIC GROWTH EQUITIES, LLC
March 26, 1993 - February 13, 1998
VOLPE BROWN WHELAN & COMPANY, LLC
November 29, 1991 - November 20, 1992
ALEX. BROWN & SONS INCORPORATED
December 1, 1986 - December 20, 1989
LEHMAN BROTHERS 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
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507 / SEC#: , 8-35097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
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.
