John D. Ellsworth
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 David Ellsworth was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1990. John had worked at 4 firms and has passed the Series 63, Series 62, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2009 - November 7, 2012
KUEHL CAPITAL CORPORATION
December 10, 2004 - October 2, 2007
SMITH HAYES FINANCIAL SERVICES CORPORATION
April 16, 1999 - January 18, 2005
MANARIN SECURITIES CORPORATION
August 29, 1990 - January 27, 1999
QA3 FINANCIAL CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 7/8/1994
Corporate Securities Limited Representative ExaminationCurrent Firm
KUEHL CAPITAL CORPORATION
CRD#: 37789 / SEC#: , 8-47912
Contact information
Documents
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.
