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Stan James Stratton

CRD# 1914623·Registered 1989 - 2014
Previously Registered: Being a previously registered professional could mean that Stan 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.

Professional Summary

Stan James Stratton, who also goes by Stan J Stratton, was a registered financial advisor. Stan was a previously registered financial professional and started their career in finance 1989 - 2014. Stan had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 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

Stan J Stratton

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

33 years in the financial services industry

Current & Past Employments

JANCO PARTNERS, INC.·CRD# 40055
BD
Greenwood Village, CO
December 17, 2013 - August 21, 2014
RABO SECURITIES USA, INC.·CRD# 122657
BD
New York, NY
June 16, 2006 - November 15, 2007
FAM DISTRIBUTORS, INC.·CRD# 4100
BD
New York, NY
October 11, 2005 - April 18, 2006
BANC OF AMERICA SECURITIES LLC·CRD# 26091
BD
New York, NY
March 12, 2001 - November 3, 2003
JEFFERIES LLC·CRD# 2347
BD
New York, NY
April 17, 1996 - March 27, 2001
KIDDER, PEABODY & CO. INCORPORATED·CRD# 7613
BD
New York, NY
August 16, 1994 - February 7, 1995
JEFFERIES LLC·CRD# 2347
BD
New York, NY
May 31, 1990 - August 17, 1993
DREXEL BURNHAM LAMBERT INCORPORATED·CRD# 7323
BD
December 22, 1989 - March 14, 1990
FIRST IMPERIAL INVESTOR SERVICES, INC.·CRD# 20722
BD
June 15, 1989 - July 10, 1989

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Current Firm

JP
JANCO PARTNERS, INC.

JANCO PARTNERS, INC.

CRD#: 40055 / SEC#: 8-48954
BD
Terminated by SEC on 10/10/2014

Contact Information

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
HELEN, JAN ERNESTCHAIRMAN/CEO/CCO865530
HALLAREN, GERARD FRANCISFINOP1408026
HALLAREN, GERARD FRANCISRESEARCH PRINCIPAL1408026

Disclosures

Regulatory Event

4

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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 Dec 2013About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 2013About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 2006About the Series 24 exam

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CRS (Client Relationship Summary)

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

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