John J. Duval

BANTAM

Staatsburg, NY 12580

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CRD#: 2645709

Professional summary

John Joseph Duval JR, who also goes by Jack Duval, John J (jr) Duval, John Joseph (jr) Duval Jr, is a registered financial advisor currently at BANTAM INC. located in Staatsburg, New York.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. John has worked at 2 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jack Duval | John J (jr) Duval | John Joseph (jr) Duval Jr

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.

I manage and serve as an expert witness in a securities litigation consulting firm. I do not give any investment advice as part of this business. I do not receive commissions or any form of payment for investment advice.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Joseph Duval JR'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

March 31, 2021 - Present

BANTAM INC.

Office #1: 107 East Meadowbrook Lane, Staatsburg, NY 12580

RIA

CRD#: 288075

Staatsburg, NY

Past

July 31, 2017 - December 18, 2017

BANTAM INC.

RIA

CRD#: 288075

STAATSBURG, NY

Past

July 3, 1997 - September 8, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

August 10, 1995 - September 8, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(3/31/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/26/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/17/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 7/16/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/9/1995

General Securities Representative Examination

Current Firm

BANTAM INC.

CRD#: 288075 / SEC#: 801-118447

RIA

Registered Investment Advisory firm - (6/28/2023 Terminated)

New York

Registered Investment Advisory firm - (6/27/2023 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/18/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

107 East Meadowbrook Lane, Staatsburg, NY 12580

Mailing Address

Phone number

(845) 605-1007

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 26,000,000

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.

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John J. Duval

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Joseph Duval JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANTAM INC.

BANTAM INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 4/26/2017

Series 63

Date: 8/17/1995

Series 31

Date: 7/16/1997

Series 7

Date: 8/9/1995

Current Firm

BANTAM INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BANTAM INC.

TRUST BUT VERIFY

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