John S. Cotton
Professional summary
John Sheldon Cotton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, John had worked at 6 firms, which includes STERNE AGEE & LEACH INC., MORGAN KEEGAN & COMPANY LLC, H.J. MEYERS & CO. INC., WESTFIELD FINANCIAL CORPORATION, HIBBARD BROWN & CO. INC., SHERWOOD CAPITAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2003 - May 18, 2004
STERNE, AGEE & LEACH, INC.
September 22, 1994 - November 7, 2003
MORGAN KEEGAN & COMPANY, LLC
August 22, 1994 - October 3, 1994
H.J. MEYERS & CO., INC.
August 8, 1994 - August 19, 1994
WESTFIELD FINANCIAL CORPORATION
June 15, 1988 - September 15, 1994
HIBBARD BROWN & CO., INC.
May 25, 1988 - May 28, 1988
SHERWOOD CAPITAL, INC.
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
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
Red Flags
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