John M. Haun
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 Michael Haun was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 5 firms and has passed the Series 63, SIE, Series 55, 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
August 3, 2015 - November 10, 2015
NEWPORT COAST SECURITIES, INC.
May 14, 2014 - August 7, 2015
GILFORD SECURITIES INCORPORATED
August 22, 2005 - May 29, 2014
EAST SHORE PARTNERS, INC.
January 30, 1995 - August 16, 2005
CANACCORD GENUITY SECURITIES LLC
June 23, 1987 - January 27, 1995
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
Series 55
Date: 12/31/1998
Limited Representative-Equity Trader ExamCurrent Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
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