John S. Barraclough
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 Scott Barraclough, who also goes by J. Scott Barraclough, Scott Barraclough, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2014 - March 31, 2016
FIRST ANALYSIS SECURITIES CORPORATION
July 22, 2013 - September 19, 2014
ASCENDIANT CAPITAL MARKETS, LLC
April 1, 2002 - June 26, 2012
D.A. DAVIDSON & CO.
November 1, 1999 - November 7, 2001
TUCKER ANTHONY INCORPORATED
November 27, 1998 - November 1, 1999
CLEARY GULL INC.
February 10, 1998 - November 27, 1998
CLEARY GULL REILAND & MCDEVITT INC.
December 2, 1996 - February 10, 1998
HANIFEN, IMHOFF INC.
October 26, 1989 - December 5, 1996
CANTOR FITZGERALD & CO.
June 20, 1989 - August 26, 1989
NEWHARD, COOK & CO. INCORPORATED
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
Series 55
Date: 4/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
FIRST ANALYSIS SECURITIES CORPORATION
CRD#: 10446 / SEC#: , 8-27350
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST ANALYSIS CORPORATION | PARENT COMPANY | |
| HESS, DAVID CLARENCE | CHIEF COMPLIANCE OFFICER | 2187717 |
| KHAN, RIAAD SYED | CHIEF FINANCIAL OFFICER / FINOP | 6759962 |
| LESHUK, DAVID JOHN | DIRECTOR | 2935779 |
| NICKLIN, FRANCIS OLIVER JR | CEO, MANAGING DIRECTOR & PRESIDENT | 347877 |
| NICKLIN, MATTHEW OLIVER | MANAGING DIRECTOR | 4216136 |
Disclosures
| Regulatory Event | 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.
