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JM

John A. Mostert

Some features on this profile are disabled
CRD#: 1981659
JM

Professional summary

John Alan Mostert was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, John had worked at 4 firms, which includes QUEST CAPITAL STRATEGIES INC., TRANSAMERICA FINANCIAL ADVISORS LLC, CERTIFIED INVESTMENTS CORPORATION, THE STUART-JAMES COMPANY INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

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

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

Past

June 5, 1998 - September 19, 2018

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

February 9, 1995 - December 31, 1997

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

August 12, 1991 - December 20, 1994

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

February 22, 1990 - July 29, 1991

CERTIFIED INVESTMENTS CORPORATION

BD
CRD#: 19452
Past

November 2, 1989 - December 18, 1989

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691
DENVER, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/29/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/19/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1989
General Securities Representative Examination

Current Firm

QC
QUEST CAPITAL STRATEGIES, INC.
QUEST CAPITAL | QUEST CAPITAL STRATEGIES, INC. | QUEST CAPITAL INVESTMENTS, INC.

CRD#: 16783 / SEC#: 801-77927, 8-34532

BD
Terminated by SEC on 02/22/2020
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Contact information

Main Address
Laguna Hills, CA
Mailing Address
Phone number
Established
California since 03/18/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
TSAI, CAROLYNECEO, CCO, OFFICE MANAGER2272768
TSAI, CAROLYNECFO, FIN OP2272768

Disclosures

Regulatory Event5
Arbitration6

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.

Company Information

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

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