John J. Vocatura
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John James Vocatura, who also goes by John Vocatura, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2012 - April 1, 2016
NATIONWIDE SECURITIES, LLC
September 11, 2008 - September 3, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 11, 2008 - August 26, 2008
AUGUSTAR DISTRIBUTORS, INC.
January 23, 2007 - December 13, 2007
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 10, 2005 - December 7, 2005
MML DISTRIBUTORS, LLC
September 20, 2004 - April 29, 2005
CAPITAL BROKERAGE CORPORATION
February 4, 2003 - September 15, 2004
DIRECTED SERVICES LLC
October 30, 2000 - January 3, 2002
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
March 4, 1997 - October 25, 2000
BNY MELLON SECURITIES CORPORATION
September 17, 1996 - February 3, 1997
DIME SECURITIES, INC.
January 3, 1995 - September 25, 1996
INVEST FINANCIAL CORPORATION
February 17, 1994 - December 31, 1994
MARKETING ONE SECURITIES, INC.
December 3, 1993 - February 26, 1994
CAPITAL BROKERAGE CORPORATION
November 10, 1992 - November 29, 1993
MARKETING ONE SECURITIES, INC.
February 8, 1990 - January 2, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 8, 1990 - January 2, 1991
EQUITABLE ADVISORS, LLC
June 20, 1989 - November 10, 1989
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
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
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
