John Cronin
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 Cronin, who also goes by J.d. Cronin Jr., John David Cronin Jr, John David Cronin, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 4 firms and has passed the Series 63, Series 55, Series 7 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
November 1, 2010 - January 3, 2012
COWEN PRIME SERVICES LLC
August 12, 2009 - July 19, 2011
SANDERS MORRIS LLC
February 14, 2001 - July 12, 2004
BANC ONE CAPITAL MARKETS, INC.
November 23, 1988 - July 26, 1989
WINGSPAN INVESTMENT SERVICES
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: 11/4/2009
Limited Representative-Equity Trader ExamCurrent Firm
COWEN PRIME SERVICES LLC
CRD#: 153397 / SEC#: , 8-68531
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
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.
