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JL

John R. Lugo

R.M. STARK & CO.
Lake Worth Beach, FL 33460-4955
Some features on this profile are disabled
CRD#: 2436413
JL

Professional summary

John Raymond Lugo is a registered financial advisor currently at R.M. STARK & CO., INC. located in Lake Worth Beach, Florida.

John is registered as a RR (Registered Representative) and started their career in finance in 1994. John has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Raymond Lugo's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 21, 2016 - Present

R.M. STARK & CO., INC.

Office #1: 730 S Federal Hwy, Lake Worth Beach, FL 33460-4955
BD
CRD#: 7612
Lake Worth Beach, FL
Past

May 21, 2010 - September 19, 2016

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

October 5, 2009 - May 27, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
PALM BEACH GARDENS, FL
Past

October 5, 2009 - May 27, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
PALM BEACH GARDENS, FL
Past

May 31, 2005 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA
CRD#: 5979
PALM BEACH GARDENS, FL
Past

May 27, 2005 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
PALM BEACH GARDENS, FL
Past

May 29, 2001 - June 27, 2005

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
LAKE WORTH, FL
Past

May 29, 2001 - June 27, 2005

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

December 14, 1999 - May 18, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

July 31, 1996 - November 24, 1999

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

July 11, 1995 - August 6, 1996

FIN-ATLANTIC SECURITIES, INC.

BD
CRD#: 25523
JUPITER, FL
Past

July 14, 1994 - March 1, 1995

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(9/21/2016)
RR
Maryland
(3/13/2023)
RR
Nevada
(11/1/2016)
RR
Tennessee
(12/2/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/29/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/2/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/7/1994
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RS
R.M. STARK & CO., INC.
R.M. STARK & CO., INC. | RM STARK & CO INC.

CRD#: 7612 / SEC#: , 8-22543

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
730 S Federal Hwy, Lake Worth Beach, FL 33460-4955
Mailing Address
730 S Federal Hwy, Lake Worth Beach, FL 33460-4955
Phone number
(561) 243-3815
Established
Florida since 09/29/1988
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (45 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RMST HOLDING COMPANY, INC.OWNER
MCTAGUE, ROBIN JAYNECHIEF COMPLIANCE OFFICER1438670
STARK, GARY LESTERCEO433866
STARK, GARY LESTERFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, MUNICIPAL SECURITIES PRINCIPAL, REGISTERED OPTIONS PRINCIPAL433866

Disclosures

Regulatory Event4

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.

Company Information

R.M. STARK & CO., INC.

CRD#: 7612Lake Worth Beach, FL 33460-4955

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