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JV

John R. Van

Some features on this profile are disabled
CRD#: 2102824
JV

Professional summary

John Robert Van 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 8 firms, which includes MURPHY VAN SECURITIES INC., DOMINARI SECURITIES LLC, NATHAN & LEWIS SECURITIES INC., SAPERSTON FINANCIAL INC., A. T. BROD & CO. INC., FIRST MONTAUK SECURITIES CORP., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Robert Van Wormer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 9, 2002 - November 9, 2004

MURPHY VAN SECURITIES, INC.

BD
CRD#: 114251
CLIFTON PARK, NY
Past

May 12, 1998 - January 24, 2002

DOMINARI SECURITIES LLC

BD
CRD#: 18975
NEW YORK, NY
Past

January 30, 1995 - April 6, 1998

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

February 24, 1994 - January 18, 1995

SAPERSTON FINANCIAL INC.

BD
CRD#: 27863
BUFFALO, NY
Past

July 7, 1993 - February 4, 1994

A. T. BROD & CO. INC.

BD
CRD#: 1319
CLEVELAND, OH
Past

June 1, 1992 - June 16, 1993

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

November 14, 1990 - September 27, 1991

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

November 14, 1990 - September 27, 1991

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/1/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/24/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/3/1990
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/14/2000
General Securities Principal Examination

Current Firm

MV
MURPHY VAN SECURITIES, INC.
MURPHY VAN SECURITIES, INC.

CRD#: 114251 / SEC#: , 8-53415

BD
Terminated by SEC on 01/14/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/14/2000
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
VAN, JOHN ROBERTVICE PRESIDENT/SECRETARY/DIRECTOR2102824
BILLIAS, WILLIAM FRANKFINOP/CFO3188020
CELESTE, ROBERT RICHARDPRESIDENT/CCO1942987

Disclosures

Bond1

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.

Company Information

MURPHY VAN SECURITIES, INC.

CRD#: 114251

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