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JK

John M. Klukewycz

Some features on this profile are disabled
CRD#: 2477332
JK

Professional summary

John M Klukewycz 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 1994. Prior to being barred, John had worked at 8 firms, which includes S.G. MARTIN SECURITIES LLC, ARGUS SECURITIES INC., BARRON CHASE SECURITIES INC., EUROPA SECURITIES LLC, MATRIX SECURITIES CORPORATION, TOLUCA PACIFIC SECURITIES CORP., DICKINSON & CO., MONTANO SECURITIES CORPORATION.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John M Kay

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 27, 2002 - January 7, 2003

S.G. MARTIN SECURITIES LLC

BD
CRD#: 46908
JERICHO, NY
Past

March 23, 2001 - May 9, 2002

ARGUS SECURITIES, INC.

BD
CRD#: 7400
HALLANDALE, FL
Past

April 16, 1998 - June 4, 1998

BARRON CHASE SECURITIES, INC.

BD
CRD#: 18969
BOCA RATON, FL
Past

June 27, 1997 - October 9, 1997

EUROPA SECURITIES, LLC

BD
CRD#: 28493
OVIEDO, FL
Past

April 4, 1997 - August 8, 1997

MATRIX SECURITIES CORPORATION

BD
CRD#: 30991
GARDEN CITY, NY
Past

September 26, 1995 - May 6, 1997

TOLUCA PACIFIC SECURITIES CORP.

BD
CRD#: 13875
BURBANK, CA
Past

February 1, 1995 - August 30, 1995

DICKINSON & CO.

BD
CRD#: 689
DES MOINES, IA
Past

May 13, 1994 - January 19, 1995

MONTANO SECURITIES CORPORATION

BD
CRD#: 7887
ORANGE, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/5/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/22/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/3/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 8/25/1997
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 8
Date: 8/13/1997
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 27
Date: 1/31/1997
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/9/1995
Registered Options Principal Examination

Current Firm

SM
S.G. MARTIN SECURITIES LLC
S.G. MARTIN SECURITIES LLC

CRD#: 46908 / SEC#: , 8-51583

BD
Terminated by SEC on 04/22/2008
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/25/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PANTELAKIS, EMANUELNONE
WESTWIND HOLDING LLCOWNER

Disclosures

Regulatory Event4
Arbitration2

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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Company Information

S.G. MARTIN SECURITIES LLC

CRD#: 46908

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