John C. Carlin
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 Charles Carlin, who also goes by John C Carlin, John Charles Carlin, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 8 firms and has passed the Series 66, 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
January 31, 2015 - July 19, 2016
CROSS POINT CAPITAL LLC
May 4, 2012 - February 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 2012 - February 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 27, 2011 - November 14, 2011
ALPS DISTRIBUTORS, INC.
October 14, 2009 - January 21, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 11, 2008 - November 12, 2009
MSC - BD, LLC
November 7, 2005 - July 7, 2006
LADENBURG THALMANN & CO. INC.
January 3, 2005 - November 1, 2005
AMERIMUTUAL FUNDS DISTRIBUTOR, INC.
May 7, 2004 - October 19, 2004
WALL STREET ACCESS
June 13, 2003 - May 7, 2004
ING INVESTMENT MANAGEMENT SERVICES LLC
July 21, 1999 - January 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CROSS POINT CAPITAL LLC
CRD#: 136223 / SEC#: , 8-66989
Contact information
FINRA licenses (17 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
