John E. Fendrich

JOSEPH STONE CAPITAL L.L.C.

New York, NY 10006

Some features on this profile are disabled

CRD#: 1791002

Professional summary

John Emil Fendrich JR, who also goes by John Emil Fendrich, is a registered financial professional currently at JOSEPH STONE CAPITAL L.L.C. located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1988. John has worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Emil Fendrich

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Emil Fendrich JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 5, 2023 - Present

JOSEPH STONE CAPITAL L.L.C.

Office #1: 29 Broadway Suite 1800, New York, NY 10006

CRD#: 159744

New York, NY

Past

August 4, 2017 - May 31, 2023

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251

NEW YORK, NY

Past

March 4, 2016 - August 30, 2017

DAWSON JAMES SECURITIES, INC.

CRD#: 130645

NEW YORK, NY

Past

June 16, 2009 - April 1, 2016

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

Past

August 22, 2001 - July 15, 2009

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

TINTON FALLS, NJ

Past

November 17, 1999 - September 20, 2001

KIRLIN SECURITIES INC.

CRD#: 21210

SYOSSET, NY

Past

August 25, 1998 - December 9, 1999

J.W. BARCLAY & CO., INC.

CRD#: 23350

WOODBRIDGE, NJ

Past

October 16, 1997 - September 16, 1998

CANTONE RESEARCH INC.

CRD#: 26314

EATONTOWN, NJ

Past

June 24, 1994 - October 17, 1997

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

May 18, 1992 - June 28, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

November 15, 1990 - May 29, 1992

DONALD & CO. SECURITIES INC.

CRD#: 7776

TINTON FALLS, NJ

Past

June 26, 1990 - November 20, 1990

HIGHLANDER CAPITAL GROUP, INC.

CRD#: 19074

SHORT HILLS, NJ

Past

March 8, 1990 - July 9, 1990

VANDERBILT SECURITIES, INC.

CRD#: 14280

Past

January 26, 1990 - March 14, 1990

DONALD & CO. SECURITIES INC.

CRD#: 7776

TINTON FALLS, NJ

Past

November 3, 1989 - February 15, 1990

J. T. MORAN & CO., INC.

CRD#: 15655

Past

January 19, 1988 - November 10, 1989

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/5/2023)

Connecticut
(2/6/2024)

Illinois
(4/17/2025)

Massachusetts
(6/12/2023)

New Jersey
(5/8/2023)

New York
(5/5/2023)

Pennsylvania
(5/5/2023)

Texas
(5/5/2023)

Exams

State Security Law Exam

Series 63

Date: 1/27/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/21/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

JOSEPH STONE CAPITAL L.L.C.

CRD#: 159744 / SEC#: , 8-69014

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

585 Stewart Ave Suite L60c, Garden City, NY 11530

Mailing Address

585 Stewart Ave Suite L60c, Garden City, NY 11530

Phone number

(516) 267-7001

Established

Delaware since 11/04/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DPMM HOLDINGS L.L.C.	HOLDING COMPANY
GRAZIANO, ANTHONY JOSEPH	CCO	2862096
MAGGIO, DAMIAN	CEO	2864247
NIXON, JON ALAN	FINOP	4710715

Disclosures

Regulatory Event	5
Arbitration	3

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John E. Fendrich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Emil Fendrich JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPARTAN CAPITAL SECURITIES, LLC

DAWSON JAMES SECURITIES, INC.

WINDSOR STREET CAPITAL, LP

J.P. TURNER & COMPANY, L.L.C.

KIRLIN SECURITIES INC.

J.W. BARCLAY & CO., INC.

CANTONE RESEARCH INC.

FIRST MONTAUK SECURITIES CORP.

PRUDENTIAL EQUITY GROUP, LLC

DONALD & CO. SECURITIES INC.

HIGHLANDER CAPITAL GROUP, INC.

VANDERBILT SECURITIES, INC.

DONALD & CO. SECURITIES INC.

J. T. MORAN & CO., INC.

THE STUART-JAMES COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 1/27/1988

SIE

Date: 10/1/2018

Series 7

Date: 1/16/1988

Series 24

Date: 8/21/2006

FINRA

Current Firm

JOSEPH STONE CAPITAL L.L.C.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

JOSEPH STONE CAPITAL L.L.C.

TRUST BUT VERIFY

Similar Advisors