John W. Tarleton
Professional summary
John William Tarleton is a registered financial professional currently at LPS CAPITAL LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1992. John has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John William Tarleton's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 15, 2013 - Present
LPS CAPITAL LLC
Office #1: 600 Lexington Avenue Suite 502, New York, NY 10022Office #2: 600 Lexington Avenue Suite 502, New York, NY 10022March 17, 2006 - March 6, 2012
ALTRUSHARE SECURITIES LLC
January 3, 2005 - March 7, 2006
QR SECURITIES LLC
April 30, 2004 - August 10, 2004
BOSTON MERCHANT FINANCIAL SERVICES, INC.
May 15, 2003 - October 23, 2003
UBS INTERNATIONAL INC.
August 1, 2002 - October 23, 2003
UBS INTERNATIONAL INC.
January 29, 2001 - January 11, 2002
WORLDCO, L.L.C.
January 28, 1994 - January 3, 2001
NATHAN & LEWIS SECURITIES, INC.
January 16, 1992 - May 6, 1997
WALL STREET ACCESS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/18/2014)
(8/5/2015)
(7/24/2015)
(8/14/2015)
(5/21/2024)
(9/7/2016)
(8/29/2013)
(6/12/2013)
(1/8/2015)
(3/26/2025)
(7/23/2015)
(9/2/2015)
(4/16/2015)
(3/30/2017)
(3/15/2013)
(8/14/2015)
(5/5/2016)
(12/14/2022)
(8/21/2015)
(7/28/2015)
(5/24/2016)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/6/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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