Dean J. Jupiter
Professional summary
Dean Jeffrey Jupiter was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dean is a previously registered financial professional and started their career in finance in 1971. Prior to being barred, Dean had worked at 18 firms, which includes WACHOVIA SECURITIES INC., FIRST CLEARING LLC, MERIDIAN SECURITIES INC., WESTMINSTER RESEARCH ASSOCIATES LLC, NATWEST CAPITAL MARKETS SECURITIES INC., INTEGRATED RESOURCES EQUITY CORPORATION, SWINK & COMPANY INC., TMA GOVERNMENT SECURITIES LTD., UNITED CAPITAL CORPORATION, MARCUS STOWELL & BEYE INC., HAMILTON/COOKE & CO. OF FLORIDA INC., E.S.M. SECURITIES INC., WINTERS AND COMPANY, HIBBARD & O'CONNOR SECURITIES INC., STEINER ROUSE & CO. INC., E. F. HUTTON & COMPANY INC, R W PRESSPRICH & CO, EDWARDS & HANLY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 1997 - April 27, 1999
WACHOVIA SECURITIES, INC.
August 19, 1996 - October 20, 1997
FIRST CLEARING, LLC
February 26, 1991 - August 20, 1996
MERIDIAN SECURITIES, INC.
November 15, 1988 - February 17, 1989
WESTMINSTER RESEARCH ASSOCIATES LLC
November 15, 1988 - February 17, 1989
NATWEST CAPITAL MARKETS SECURITIES INC.
July 31, 1987 - September 21, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
June 19, 1986 - August 6, 1987
SWINK & COMPANY, INC.
July 15, 1985 - June 30, 1986
TMA GOVERNMENT SECURITIES, LTD.
October 4, 1984 - April 22, 1985
UNITED CAPITAL CORPORATION
October 9, 1979 - August 3, 1984
MARCUS, STOWELL & BEYE, INC.
February 2, 1979 - October 2, 1979
HAMILTON/COOKE & CO. OF FLORIDA, INC.
August 5, 1976 - March 15, 1979
E.S.M. SECURITIES, INC.
December 22, 1975 - June 22, 1976
WINTERS AND COMPANY
May 15, 1974 - November 10, 1974
HIBBARD & O'CONNOR SECURITIES, INC.
April 5, 1974 - May 26, 1974
STEINER, ROUSE & CO., INC.
November 29, 1973 - April 28, 1974
E. F. HUTTON & COMPANY INC
March 17, 1972 - August 2, 1973
R W PRESSPRICH & CO
September 21, 1971 - March 19, 1980
EDWARDS & HANLY
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: 9/16/1971
Registered Representative ExaminationCurrent Firm
WACHOVIA SECURITIES, INC.
CRD#: 431 / SEC#: , 8-2612
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
| Civil Event | 3 |
| Arbitration | 18 |
| Bond | 1 |
Red Flags
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