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CJ

Christopher J. Johndrow

Some features on this profile are disabled
CRD#: 2138590
CJ

Professional summary

Christopher Joseph Johndrow was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Christopher is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Christopher had worked at 10 firms, which includes NEWPORT COAST SECURITIES INC., MISSION SECURITIES CORPORATION, NATIONAL CAPITAL SECURITIES INC., AMERICAN INVESTMENT SERVICES INC., HORNBLOWER & WEEKS INC., EQUITY TRUST ADVISORS INC., E*OFFERING, SHAMROCK PARTNERS LTD, ROTH CAPITAL PARTNERS LLC, CHATFIELD DEAN & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Johndrow

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 13, 2004 - January 11, 2008

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
NEWPORT BEACH, CA
Past

December 11, 2002 - December 20, 2002

MISSION SECURITIES CORPORATION

BD
CRD#: 41779
SAN DIEGO, CA
Past

June 26, 2002 - October 22, 2002

NATIONAL CAPITAL SECURITIES, INC.

BD
CRD#: 37702
OKLAHOMA CITY, OK
Past

March 21, 2002 - June 10, 2002

AMERICAN INVESTMENT SERVICES, INC.

BD
CRD#: 21111
OKLAHOMA CITY, OK
Past

November 13, 2001 - March 8, 2002

HORNBLOWER & WEEKS, INC.

BD
CRD#: 4683
NEW YORK, NY
Past

September 1, 2000 - October 23, 2000

EQUITY TRUST ADVISORS, INC.

BD
CRD#: 44799
IRVINE, CA
Past

August 6, 1997 - May 18, 1998

E*OFFERING

BD
CRD#: 36717
Past

November 13, 1996 - May 18, 1998

E*OFFERING

BD
CRD#: 36717
SAN FRANCISCO, CA
Past

June 15, 1995 - January 28, 1997

SHAMROCK PARTNERS, LTD

BD
CRD#: 23955
MEDIA, PA
Past

May 12, 1992 - May 1, 1995

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
NEWPORT BEACH, CA
Past

May 28, 1991 - May 11, 1992

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

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: 6/4/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/24/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/5/1995
General Securities Principal Examination

Current Firm

NC
NEWPORT COAST SECURITIES, INC.
GRANT BETTINGEN, INC. | NEWPORT COAST SECURITIES, INC. | NEWPORT COAST SECURITIES | NEWPORT COAST ASSET MANAGEMENT

CRD#: 16944 / SEC#: 801-67802, 8-34790

BD
Terminated by SEC on 10/02/2016
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Contact information

Main Address
1720 Garry Ave. #108, Santa Ana, CA 92705
Mailing Address
Phone number
Established
California since 03/06/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

PART 2A (3/18/2016)

Direct owners and executive officers

NamePositionCRD#
RUBICON FINANCIAL INCORPORATEDOWNER
KESSLER, KRISTOPHER CHARLESCOO4543640
LEE, KEVIN CHONGCHIEF COMPLIANCE OFFICER3143283
ONESTO, RICHARD ERNESTFINOP/CFO2453096
ONESTO, RICHARD ERNESTCEO2453096

Disclosures

Regulatory Event12
Arbitration7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

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