John W. Chambers

H.C.WAINWRIGHT & CO.

New York, NY 10022

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CRD#: 1863864

Professional summary

John Wesley Chambers, who also goes by John W Chambers, is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC 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 10 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John W Chambers

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 Wesley Chambers'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

January 24, 2017 - Present

H.C.WAINWRIGHT & CO., LLC

Office #1: 430 Park Avenue 4th Floor, New York, NY 10022

CRD#: 375

New York, NY

Past

December 16, 2009 - January 10, 2017

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

NEW YORK, NY

Past

August 18, 2008 - December 11, 2009

MERRIMAN CAPITAL, INC.

CRD#: 18296

NEW YORK, NY

Past

August 18, 2006 - August 4, 2008

RODMAN & RENSHAW, LLC

CRD#: 16415

NEW YORK, NY

Past

May 16, 2005 - June 28, 2006

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

April 11, 2002 - May 24, 2005

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 16, 1999 - April 10, 2002

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

November 28, 1997 - March 25, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 23, 1996 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

May 7, 1992 - July 12, 1996

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

August 23, 1988 - April 8, 1992

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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

New York
(1/24/2017)

Exams

State Security Law Exam

Series 63

Date: 9/29/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/16/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

H.C.WAINWRIGHT & CO., LLC

CRD#: 375 / SEC#: , 8-43115

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

430 Park Avenue 4th Floor, New York, NY 10022

Mailing Address

430 Park Avenue 4th Floor, New York, NY 10022

Phone number

(212) 356-0500

Established

Delaware since 04/10/2013

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#
HCWHC INC	SHAREHOLDER
KAPLAN, MARK ELIOT	CEO	2618079
KIRSCH, KENNETH JOHN	CFO	1671480
KIRSCH, KENNETH JOHN	FINOP	1671480
SILVERA, EDWARD DAVID	CHIEF OPERATIONS OFFICER	6216348
YANOW, JONATHAN TODD	CHIEF COMPLIANCE OFFICER	6516303

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

John W. Chambers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Wesley Chambers's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROTH CAPITAL PARTNERS, LLC

MERRIMAN CAPITAL, INC.

RODMAN & RENSHAW, LLC

COWEN AND COMPANY

LEHMAN BROTHERS INC.

UBS SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

SALOMON BROTHERS INC.

SBC WARBURG DILLON READ INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/29/1997

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1988

Series 24

Date: 10/16/2006

FINRA

Current Firm

H.C.WAINWRIGHT & CO., LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

H.C.WAINWRIGHT & CO., LLC

TRUST BUT VERIFY

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