John C. Felag
Professional summary
John Christopher Felag is a registered financial professional currently at VISION BROKERAGE SERVICES, LLC located in Stamford, Connecticut and VISION FINANCIAL MARKETS LLC located in Stamford, Connecticut.
John is registered as a RR (Registered Representative) and started their career in finance in 1988. John has worked at 5 firms and has passed the Series 63, Series 99TO, Series 42, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 15, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Christopher Felag's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 14, 2006 - Present
VISION BROKERAGE SERVICES, LLC
Office #1: 1010 Washington Blvd, Suite 300, Stamford, CT 06901January 10, 2008 - Present
VISION FINANCIAL MARKETS LLC
Office #1: 1010 Washington Blvd, Suite 300, Stamford, CT 06901Office #2: 1010 Washington Blvd Suite 300, Stamford, CT 06901January 1, 2005 - June 22, 2006
BNP PARIBAS SECURITIES CORP.
May 21, 1996 - January 1, 2005
BNP PARIBAS BROKERAGE SERVICES, INC.
July 30, 1990 - June 4, 1996
CHASE FUTURES & OPTIONS, INC.
October 7, 1988 - September 13, 1989
CHASE FUTURES & OPTIONS, 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
(9/14/2006)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 42
Date: 1/2/2023
Registered Options Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/24/2007
Limited Representative-Equity Trader ExamSeries 15
Date: 10/6/1988
Foreign Currency Options ExaminationBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
MIAX Sapphire
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
VISION FINANCIAL MARKETS LLC
CRD#: 142271 / SEC#: , 8-67447
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHMAN, HOWARD MARTIN | PRESIDENT, CFO, CEO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| ROTHMAN, MICHAEL DAVID | GENERAL MANAGER | 6682487 |
| FELAG, JOHN CHRISTOPHER | CHIEF RISK OFFICER | 1874602 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VICE PRESIDENT OPERATIONS, PRINCIPAL OPERATIONS OFFICER | 5288054 |
Disclosures
| Regulatory Event | 32 |
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