JP
John K. Pritchard
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CRD#: 2221223
JP
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 Kenneth Pritchard was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
1. Angel Peace LLC; 1268 Josephine Ct. Sebring, FL 33875; Investment Related, Rental Property; Manager; Start Date: Feb 2022; 10 hours per month devoted to business; 0 hours during securities trading hours. 2. ACC AGENCY, INC.., 1305 WALT WHITMAN RD. SUITE 120 MELVILLE, NY 11747; INVESTMENT RELATED, INSURANCE GENERAL AGENCY; AGENT, PRODUCER; START DATE: 10/18/2023; 5-10 HOURS PER MONTH DEVOTED TO BUSINESS; 5-10 HOURS PER MONTH DURING SECURITIES TRADING HOURS.
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®
NoneExperience
Past
December 12, 2016 - April 22, 2024
AEGIS CAPITAL CORP.
RIA
CRD#: 15007
BOCA RATON, FL
Past
December 5, 2016 - April 22, 2024
AEGIS CAPITAL CORP.
BD
CRD#: 15007
BOCA RATON, FL
Past
June 10, 2013 - December 13, 2016
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
FT. LAUDERDALE, FL
Past
June 5, 2013 - December 13, 2016
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
FT. LAUDERDALE, FL
Past
February 13, 2013 - June 11, 2013
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
FT. LAUDERDALE, FL
Past
February 13, 2013 - June 11, 2013
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
FT. LAUDERDALE, FL
Past
December 3, 2010 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
FT. LAUDERDALE, FL
Past
November 22, 2010 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
FT. LAUDERDALE, FL
Past
August 5, 2003 - December 1, 2010
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
FORT LAUDERDALE, FL
Past
August 5, 2003 - December 1, 2010
OPPENHEIMER & CO. INC.
BD
CRD#: 249
FORT LAUDERDALE, FL
Past
July 1, 2003 - August 5, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ATLANTA, GA
Past
July 1, 2003 - August 5, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
May 5, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
ATLANTA, GA
Past
June 29, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
December 18, 2000 - July 9, 2001
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 15, 1992 - December 19, 2000
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AC
AEGIS CAPITAL CORP.
AEGIS CAPITAL CORP. | VAST WEALTH ADVISORS | STERNAEGIS VENTURES | STANDARD INTEGRITY WEALTH MANAGEMENT, LLC | SILVESTRI ASSET MANAGEMENT LLC | RIWM LLC | RG BAR INVESTMENT GROUP | PAYNE LEGACY FINANCIAL | PAR FINANCIAL | MEL CAPITAL | MARC JACOBSON & ASSOCIATES | LARCHMONT WEALTH MANAGEMENT | KS CAPITAL MANAGEMENT | FARMER FINANCIAL | DYNAMIC CAPITAL HOLDING | BOGART VALUE PARTNERS | BLUE ANCHOR WEALTH MANAGEMENT | AMERICAN LEGACY WEALTH MANAGEMENT | ALPHA STRATEGIC ADVISORS
CRD#: 15007 / SEC#: 801-71386, 8-31616
RIA
Registered Investment Advisory firm - SEC (5/10/2010 Approved)California
Registered Investment Advisory firm - SEC (5/26/2010 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (1/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/21/2011 Terminated)Louisiana
Registered Investment Advisory firm - SEC (11/5/2014 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (10/28/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/7/2014 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/5/2014 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (9/15/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (9/13/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
AC
AEGIS CAPITAL CORP.
AEGIS CAPITAL CORP. | VAST WEALTH ADVISORS | STERNAEGIS VENTURES | STANDARD INTEGRITY WEALTH MANAGEMENT, LLC | SILVESTRI ASSET MANAGEMENT LLC | RIWM LLC | RG BAR INVESTMENT GROUP | PAYNE LEGACY FINANCIAL | PAR FINANCIAL | MEL CAPITAL | MARC JACOBSON & ASSOCIATES | LARCHMONT WEALTH MANAGEMENT | KS CAPITAL MANAGEMENT | FARMER FINANCIAL | DYNAMIC CAPITAL HOLDING | BOGART VALUE PARTNERS | BLUE ANCHOR WEALTH MANAGEMENT | AMERICAN LEGACY WEALTH MANAGEMENT | ALPHA STRATEGIC ADVISORS
CRD#: 15007 / SEC#: 801-71386, 8-31616
RIA
Registered Investment Advisory firm - SEC (5/10/2010 Approved)California
Registered Investment Advisory firm - SEC (5/26/2010 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (1/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/21/2011 Terminated)Louisiana
Registered Investment Advisory firm - SEC (11/5/2014 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (10/28/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/7/2014 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/5/2014 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (9/15/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (9/13/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1345 Avenue Of The Americas 27th Floor, New York, NY 10105
Mailing Address
1345 Avenue Of The Americas 27th Floor, New York, NY 10105
Phone number
(212) 813-1010
Established
New York since 01/15/1984
Firm type
Corporation
Fiscal year end
November
Firm Size
Medium
# of Employees
270
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEGIS CAPITAL HOLDING CORP. | HOLDING COMPANY | |
| EIDE, ROBERT JAY | CEO, SECRETARY, CLO, DIRECTOR | 1015261 |
| FEINMAN, ROBERT STEVEN | CHIEF COMPLIANCE OFFICER | 205708 |
| KOTT, GEORGE GREGORY | CHIEF OPERATING OFFICER | 2876578 |
| MCKENNA, FRANCIS J | MUNICIPAL PRINCIPAL | 4825383 |
| MILLER, JOHN STEVENSON | CO-FINOP | 2139980 |
| POSS, THOMAS CHAMPNEY | CHIEF FINANCIAL OFFICER, CO-FINOP | 2547521 |
Regulatory assets under management
| Total Number of Accounts | 2,760 |
| AUM (Assets Under Management) | $ 1,430,612,106 |
Disclosures
| Regulatory Event | 40 |
| Arbitration | 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.
