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JS

John H. Simpson

BROADHAVEN SECURITIES LLC
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 2020859
JS

Professional summary

John Harold Simpson is a registered financial professional currently at BROADHAVEN SECURITIES LLC located in Chicago, Illinois and STELLA PARTNERS LLC located in Chicago, Illinois.

John is registered as a RR (Registered Representative) and started their career in finance in 1990. John has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

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) - BD

Click below to view John Harold Simpson's CRS (Customer Relationship Summary).

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

Current

March 14, 2014 - Present

BROADHAVEN SECURITIES LLC

Office #1: 155 North Wacker Suite 4440, Chicago, IL 60606
BD
CRD#: 157804
CHICAGO, IL
Current

January 11, 2019 - Present

STELLA PARTNERS LLC

Office #1: 65 E Goethe Apt. 7w, Chicago, IL 60610
BD
CRD#: 297977
Chicago, IL
Past

January 19, 2005 - May 20, 2013

CP INVESTMENTS, LLC

BD
CRD#: 24029
LOS ANGELES, CA
Past

December 19, 1990 - June 30, 2004

DRESDNER KLEINWORT WASSERSTEIN, LLC

BD
CRD#: 22068
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/3/2017)
RR
Connecticut
(2/3/2017)
RR
Florida
(3/10/2017)
RR
Illinois
(3/14/2014)
RR
Massachusetts
(2/17/2017)
RR
New York
(2/3/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 1/7/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/20/1991
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SP
STELLA PARTNERS LLC
STELLA PARTNERS LLC

CRD#: 297977 / SEC#: , 8-70196

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
65 E Goethe Apt. 7w, Chicago, IL 60610
Mailing Address
65 E Goethe Apt. 7w, Chicago, IL 60610
Phone number
(312) 493-9242
Established
Delaware since 05/17/2018
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ORIOLE CAPITAL, LLCOWNER
ALVAREZ, ENRIQUEFINOP4622342
SIMPSON, JOHN HAROLDCEO, CCO, AMLCO & EXEC REP2020859

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

STELLA PARTNERS LLC

CRD#: 297977Chicago, IL 60606

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