John J. Doolan
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 Joseph Doolan, who also goes by Jay Doolan, John Joseph Doolan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 17 firms and has passed the Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2011 - July 25, 2012
SUMMIT EQUITIES, INC.
September 2, 2010 - February 3, 2011
HORNOR, TOWNSEND & KENT, LLC
May 1, 2009 - August 4, 2010
SIGNATOR INVESTORS, INC.
July 2, 2008 - May 6, 2009
AMERITAS INVESTMENT COMPANY, LLC
November 28, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 28, 2006 - June 11, 2008
MSI FINANCIAL SERVICES, INC.
August 23, 2005 - November 17, 2006
MML INVESTORS SERVICES, LLC
April 29, 2004 - July 29, 2005
WALNUT STREET SECURITIES, INC.
July 2, 2003 - January 5, 2004
OSAIC WEALTH, INC.
February 26, 2001 - June 25, 2003
CAP PRO BROKERAGE SERVICES, INC.
August 31, 1998 - January 25, 2001
1ST GLOBAL CAPITAL CORP.
September 14, 1992 - July 13, 1998
FFP SECURITIES, INC.
May 2, 1991 - September 16, 1992
WORLD INVESTMENTS, LLC
February 15, 1990 - December 31, 1990
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
April 3, 1989 - August 19, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
August 21, 1987 - March 10, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 20, 1987 - March 10, 1989
EQUITABLE ADVISORS, LLC
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
SUMMIT EQUITIES, INC.
CRD#: 11039 / SEC#: 801-39162, 8-27556
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEISS, CRAIG BARRY | CHIEF COMPLIANCE OFFICER | 2354195 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
