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JM

Jack W. Maddock

Some features on this profile are disabled
CRD#: 1825204
JM

Professional summary

Jack William Maddock was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jack is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Jack had worked at 6 firms, which includes MAYFAIR SECURITIES LIMITED, KOBER FINANCIAL CORP., SCHNEIDER SECURITIES INC., KOCHCAPITAL, A. T. BROD & CO. INC., J. W. GANT & ASSOCIATES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 14, 1991 - July 29, 1992

MAYFAIR SECURITIES LIMITED

BD
CRD#: 23770
Past

April 3, 1991 - May 9, 1991

KOBER FINANCIAL CORP.

BD
CRD#: 17551
ENGLEWOOD, CO
Past

March 4, 1991 - April 5, 1991

SCHNEIDER SECURITIES, INC.

BD
CRD#: 16434
DENVER, CO
Past

December 18, 1990 - March 4, 1991

KOCHCAPITAL

BD
CRD#: 21038
Past

February 2, 1990 - November 8, 1990

A. T. BROD & CO. INC.

BD
CRD#: 1319
CLEVELAND, OH
Past

August 23, 1988 - November 28, 1989

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/19/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/1988
General Securities Representative Examination

Current Firm

MS
MAYFAIR SECURITIES LIMITED
MAYFAIR SECURITIES LIMITED | MAYFAIR SECURITIES LTD.

CRD#: 23770 / SEC#: , 8-40737

BD
Cancelled by FINRA on 07/29/1992
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/28/1988
Firm type
Corporation
Fiscal year end
April
# of Employees

Documents

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.

Company Information

MAYFAIR SECURITIES LIMITED

CRD#: 23770

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