John C. Hathaway
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 Clemens Hathaway was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 1997 - February 13, 2020
TOCQUEVILLE SECURITIES L.P.
November 20, 1989 - February 11, 1997
AMERICAN SECURITIES BD CO., L.P.
April 12, 1988 - May 11, 1989
OPPENHEIMER & CO. INC.
April 1, 1988 - April 12, 1988
FAHNESTOCK INTERNATIONAL INC.
January 23, 1987 - April 1, 1988
OPPENHEIMER & CO. INC.
October 27, 1984 - February 9, 1987
AMERICAN SECURITIES BD CO., L.P.
April 14, 1977 - October 15, 1984
DAVID J. GREENE AND COMPANY, LLC
March 17, 1976 - October 10, 1976
WILLIAM D. WITTER, INC.
November 4, 1970 - June 19, 1975
SPENCER TRASK & CO. INCORPORATED
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: 10/29/1970
Registered Representative ExaminationCurrent Firm
TOCQUEVILLE SECURITIES L.P.
CRD#: 26001 / SEC#: , 8-42223
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOCQUEVILLE ASSET MANAGEMENT L.P. | LIMITED PARTNER | |
| CHUN, YUEN NA | FINOP | 2219603 |
| GRAHAM, KELSEY DUBOIS III | CHIEF COMPLIANCE OFFICER | 5976494 |
| KLEINSCHMIDT, ROBERT WILLIAM | CEO & GSP | 855215 |
| SCHLESINGER, SCOTT IRA | PRESIDENT, CHIEF OPERATING OFFICER & GSP | 1252675 |
| TOCQUEVILLE MANAGEMENT CORPORATION | GENERAL PARTNER |
Disclosures
| Regulatory Event | 4 |
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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