John M. Dalfonsi
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 Mark Dalfonsi, who also goes by John M Dalfonsi, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 27 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
April 20, 2022 - September 22, 2022
POPPLETON FINANCIAL, LLC
December 21, 2020 - April 11, 2022
PAULSON INVESTMENT COMPANY LLC
February 25, 2002 - December 22, 2020
ROTH CAPITAL PARTNERS, LLC
May 22, 2001 - March 8, 2002
CAPITAL GROWTH FINANCIAL, LLC
April 20, 1998 - April 19, 2000
B. RILEY SECURITIES, INC.
November 13, 1996 - April 28, 1998
ROTH CAPITAL PARTNERS, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
POPPLETON FINANCIAL, LLC
CRD#: 314964 / SEC#: , 8-70741
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| POPPLETON PARTNERS, LLC | SOLE MEMBER | |
| RICHIE, JAMES CHANCE | MANAGER, CCO, EXECUTIVE REP. | |
| VOOS, VIRGINIA LAWRENCE | FINOP | 4576740 |
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.
