John J. Carr
Professional summary
John Joseph Carr JR 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 1990. Prior to being barred, John had worked at 10 firms, which includes BARRON CHASE SECURITIES INC., FIRST METROPOLITAN SECURITIES INC., TOLUCA PACIFIC SECURITIES CORP., DICKINSON & CO., ROBERT TODD FINANCIAL CORP., WESTFIELD FINANCIAL CORPORATION, THE WELLINGTON GROUP INC., H.J. MEYERS & CO. INC., PRINCETON FINANCIAL GROUP INC., MLB INVESTMENTS LTD..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 1998 - May 24, 1999
BARRON CHASE SECURITIES, INC.
June 20, 1997 - December 10, 1997
FIRST METROPOLITAN SECURITIES, INC.
April 15, 1996 - March 28, 1997
TOLUCA PACIFIC SECURITIES CORP.
February 7, 1995 - July 18, 1995
DICKINSON & CO.
November 3, 1994 - November 25, 1994
ROBERT TODD FINANCIAL CORP.
June 9, 1994 - November 1, 1994
WESTFIELD FINANCIAL CORPORATION
October 26, 1992 - June 8, 1994
THE WELLINGTON GROUP, INC.
November 14, 1991 - October 29, 1992
H.J. MEYERS & CO., INC.
April 30, 1990 - August 9, 1991
PRINCETON FINANCIAL GROUP, INC.
April 24, 1990 - June 8, 1990
MLB INVESTMENTS, LTD.
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
Current Firm
BARRON CHASE SECURITIES, INC.
CRD#: 18969 / SEC#: , 8-37107
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL FINANCIAL | OWNER | |
| AIELLO, PHILIP JOHN JR | V.P. | 2214889 |
| ANDOLPHO, PETER DONALD JR | V.P. | 2034938 |
| BLUNDELL, ROGER JAMES | V.P. | 2228388 |
| COLLURA, ANTHONY BURKE | V.P. | 1212502 |
| CRISTIANO, GENNARO JERRY | V.P. | |
| FEINMEL, HOWARD | CHEIF COMPLIANCE OFFICER CCO | 1330613 |
| GALLEGOS, CRAIG STEVEN | V.P. | 2026646 |
| GRIMM, KENTON EDWARD | V.P. | 1474702 |
| HAFEZI, KIOUMARS | V.P | 1725946 |
| HERMAN, BRIAN MARCUS | V.P. | 1927274 |
| KIRK, ROBERT THOMAS | CEO | 1204425 |
| KLEIN, JAY ALAN | CFO / FINOP | 3233468 |
| LIMA, MARIE SANTA | V.P. | 2727745 |
| LOCKHART, ROGER DEAN | V.P. | 1581173 |
| MACKLE, DANIEL JOSEPH SR | V.P. | 2239531 |
| MEDRANO, PAUL DEAN | V.P. | 1550449 |
| NOLE, JOHN ANTHONY | V.P. | 1609191 |
| OHALLORAN, DANIEL PATRICK | V.P. | 1391521 |
| OREILLY, RICHARD DONLON | V.P. | 845839 |
| ORLANDO, JOHN ANTHONY | V.P | 2002197 |
| PARSI, JOEY AMIR | V.P. | 1933342 |
| PETRUSHA, MICHAEL EDWARD | V.P. | 1690224 |
Disclosures
| Regulatory Event | 13 |
| Civil Event | 2 |
| Arbitration | 29 |
Red Flags
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