John R. Halsey
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 Rittenhouse Halsey, who also goes by John Rittenhous Halsey, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 17 firms and has passed the Series 63 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 1997 - March 30, 1999
MERIT CAPITAL ASSOCIATES, INC.
May 29, 1996 - July 3, 1997
NATIONAL SECURITIES CORPORATION
September 27, 1993 - August 16, 1994
FAB SECURITIES OF AMERICA, INC.
February 25, 1993 - August 7, 1993
ACCESS SECURITIES, LLC
January 14, 1992 - November 18, 1992
S.N. PHELPS & CO.
August 3, 1989 - December 9, 1991
BAIRD, PATRICK & CO., INC.
March 21, 1989 - July 26, 1989
KEANE SECURITIES CO., INC.
November 9, 1987 - April 15, 1989
JOSEPHTHAL & CO., INC.
February 27, 1985 - October 2, 1987
HAAS SECURITIES CORPORATION
November 30, 1984 - February 20, 1985
JEFFERIES LLC
February 27, 1984 - October 19, 1984
EVANS & CO., INC.
January 27, 1983 - November 26, 1984
STATEN SECURITIES CORPORATION
December 8, 1975 - February 1, 1983
DOMIK CORP.
November 27, 1973 - July 28, 1980
GOODSON PARRY MANKO & COSTA INCORPORATED
December 22, 1972 - December 9, 1973
WINKLER CANTOR POMBOY & CO
April 30, 1971 - February 3, 1973
WALLACH & CO.
June 16, 1970 - May 5, 1971
MERKIN CO 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 40
Date: 12/18/1972
Registered Principal ExaminationCurrent Firm
MERIT CAPITAL ASSOCIATES, INC.
CRD#: 30576 / SEC#: , 8-45013
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 15 |
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.
