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JM

Jack William Maddock

CRD# 1825204·Registered 1988 - 1992
Barred: Jack William Maddock was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Jack William Maddock was a registered financial advisor. Jack was a previously registered financial professional and started their career in finance 1988 - 1992. Jack had worked at 6 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

38 years in the financial services industry

Current & Past Employments

MAYFAIR SECURITIES LIMITED·CRD# 23770
BD
May 14, 1991 - July 29, 1992
KOBER FINANCIAL CORP.·CRD# 17551
BD
Englewood, CO
April 3, 1991 - May 9, 1991
SCHNEIDER SECURITIES, INC.·CRD# 16434
BD
Denver, CO
March 4, 1991 - April 5, 1991
KOCHCAPITAL·CRD# 21038
BD
December 18, 1990 - March 4, 1991
A. T. BROD & CO. INC.·CRD# 1319
BD
Cleveland, OH
February 2, 1990 - November 8, 1990
J. W. GANT & ASSOCIATES, INC.·CRD# 7963
BD
August 23, 1988 - November 28, 1989

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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

Contact Information

Established

New York since 12/28/1988

Firm Type

Corporation

Fiscal Year End

April

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1988About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 1988About the Series 7 exam

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CRS (Client Relationship Summary)

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

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JM
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