John D. Kormendi
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 D Kormendi, who also goes by John David Kormendi, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1990. John had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2014 - January 27, 2015
H.C.WAINWRIGHT & CO., LLC
February 9, 1998 - February 4, 1999
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
January 26, 1993 - December 8, 1997
CITICORP INVESTMENT SERVICES
March 12, 1992 - December 3, 1992
CORTLANDT CAPITAL CORPORATION
August 15, 1991 - March 17, 1992
PRUDENTIAL EQUITY GROUP, LLC
October 12, 1990 - July 23, 1991
GRUNTAL & CO., L.L.C.
August 17, 1990 - October 31, 1990
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
Current Firm
H.C.WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
Red Flags
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