Jack L. Stapleton
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.
Jack Lee Stapleton was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1995. Jack had worked at 10 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 10, Series 9, Series 4 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
September 13, 2002 - May 18, 2004
VFINANCE INVESTMENTS, INC
September 5, 2002 - September 10, 2002
JPC CAPITAL PARTNERS, INC.
February 5, 2001 - June 20, 2002
CARTER, TERRY & COMPANY, INC.
April 12, 2000 - February 14, 2001
MARION BASS SECURITIES CORPORATION
October 1, 1999 - January 28, 2000
FORBES & YORK SECURITIES LIMITED LIABILITY COMPANY
March 1, 1999 - June 2, 1999
FORBES & YORK SECURITIES LIMITED LIABILITY COMPANY
February 25, 1997 - May 5, 1998
JWGENESIS SECURITIES, INC.
August 16, 1996 - January 30, 1997
SOUTHWICK INVESTMENTS, INC.
November 27, 1995 - July 15, 1996
FIDELITY NATIONAL CAPITAL INVESTORS, INC.
April 4, 1995 - November 2, 1995
A. G. EDWARDS & SONS, INC.
January 24, 1995 - February 28, 1995
MORGAN STANLEY DW INC.
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
Current Firm
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
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.
