John D. Elwin
Professional summary
John Derek Elwin 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 1993. Prior to being barred, John had worked at 15 firms, which includes BROOKSTREET SECURITIES CORPORATION, GRANITE ASSOCIATES INC, CONTINENTAL BROKER-DEALER CORP., DISCOVERY CAPITAL GROUP, BRONSON & CO. LLC, RUMSON CAPITAL LLC, 1ST DISCOUNT BROKERAGE INC., ON-SITE TRADING INC., FIRST COLONIAL SECURITIES, BARBER & BRONSON INCORPORATED, JOSEPH CHARLES & ASSOC. INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, BILTMORE SECURITIES INC., STRATTON OAKMONT INC., D.E. FREY & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2003 - September 15, 2005
BROOKSTREET SECURITIES CORPORATION
July 22, 2002 - May 8, 2003
GRANITE ASSOCIATES, INC
April 5, 2002 - August 20, 2002
CONTINENTAL BROKER-DEALER CORP.
March 18, 2002 - March 28, 2002
CONTINENTAL BROKER-DEALER CORP.
October 4, 2001 - March 7, 2002
DISCOVERY CAPITAL GROUP
April 5, 2001 - October 5, 2001
BRONSON & CO., LLC
January 22, 2001 - June 1, 2001
RUMSON CAPITAL, LLC
September 15, 2000 - November 10, 2000
1ST DISCOUNT BROKERAGE, INC.
November 15, 1999 - April 5, 2000
ON-SITE TRADING, INC.
January 22, 1997 - October 1, 1998
FIRST COLONIAL SECURITIES
October 10, 1994 - February 20, 1997
BARBER & BRONSON INCORPORATED
June 13, 1994 - September 13, 1994
JOSEPH CHARLES & ASSOC., INC.
November 18, 1993 - June 21, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 28, 1993 - November 17, 1993
BILTMORE SECURITIES, INC.
July 6, 1993 - September 28, 1993
STRATTON OAKMONT INC.
May 28, 1993 - July 13, 1993
D.E. FREY & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 9/28/1999
Limited Representative-Equity Trader ExamCurrent Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
Red Flags
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