John R. Estes
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 Richard Estes, who also goes by Jack Estes, John Richard Estes Jr, John Richard Estes, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1972. John had worked at 8 firms and has passed the Series 65, Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2012 - August 2, 2013
HATTERAS CAPITAL DISTRIBUTORS, LLC
December 24, 1997 - February 1, 2005
DAVID J. GREENE AND COMPANY, LLC
February 27, 1990 - May 13, 1997
FINANCIAL SQUARE PARTNERS
November 19, 1989 - January 1, 1990
OSAIC WEALTH, INC.
July 25, 1983 - February 7, 1990
INTEGRATED RESOURCES MARKETING, INC.
June 3, 1982 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 29, 1978 - June 30, 1980
BNY MELLON SECURITIES CORPORATION
February 18, 1976 - July 12, 1978
BECKER SECURITIES INCORPORATED
November 9, 1972 - February 22, 1976
FINANCIAL SQUARE PARTNERS
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 1
Date: 11/6/1972
Registered Representative ExaminationSeries 40
Date: 10/27/1978
Registered Principal ExaminationCurrent Firm
HATTERAS CAPITAL DISTRIBUTORS, LLC
CRD#: 143365 / SEC#: , 8-67555
Contact information
FINRA licenses (53 States and Territories)
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.
