John V. Hategan
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 Vasile Hategan was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1973. John had worked at 13 firms and has passed the SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2015 - June 4, 2015
INDEPENDENCE CAPITAL CO., INC.
January 2, 2015 - June 4, 2015
INDEPENDENCE CAPITAL CO., INC.
September 12, 2014 - December 31, 2014
STONEX SECURITIES INC.
February 10, 2005 - December 31, 2014
WRP INVESTMENTS, INC.
February 9, 2005 - September 12, 2014
WRP INVESTMENTS, INC.
August 29, 2002 - January 31, 2005
MUTUAL SERVICE CORPORATION
May 10, 2000 - September 5, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 27, 1999 - March 24, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 14, 1999 - October 14, 1999
KEY CLEARING CORP.
April 6, 1998 - May 14, 1999
KEY INVESTMENTS INC.
July 22, 1994 - March 24, 1998
THE O.N. EQUITY SALES COMPANY
November 20, 1992 - July 21, 1994
WALNUT STREET SECURITIES, INC.
September 13, 1991 - November 10, 1992
BUTLER, WICK & CO., INC.
January 7, 1986 - January 1, 1990
KEYBANC CAPITAL MARKETS INC.
July 26, 1984 - January 6, 1986
MANAGED INVESTMENTS, INC.
December 24, 1973 - August 9, 1978
JOHN HANCOCK DISTRIBUTORS LLC
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 1
Date: 12/15/1973
Registered Representative ExaminationCurrent Firm
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: , 8-41331
Contact information
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 295 |
| AUM (Assets Under Management) | $ 99,922,105 |
Disclosures
| Regulatory Event | 3 |
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.
