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JK

John C. Kawas

Some features on this profile are disabled
CRD#: 265491
JK

Professional summary

John Charles Kawas JR was barred by the SEC 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 1971. Prior to being barred, John had worked at 11 firms, which includes GUNNALLEN FINANCIAL INC, GREAT EASTERN SECURITIES INC., WIZER FINANCIAL INC., LH ROSS & COMPANY INC., EKN FINANCIAL SERVICES INC., KIMBERLY SECURITIES INC., W.A. CAPITAL MARKETS, LCP CAPITAL CORP., LEHMAN BROTHERS INC., DRYSDALE SECURITIES CORPORATION, WEIS SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

January 19, 2005 - February 26, 2005

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

August 11, 2004 - September 10, 2004

GREAT EASTERN SECURITIES, INC.

BD
CRD#: 2061
NEW YORK, NY
Past

January 14, 2004 - August 10, 2004

WIZER FINANCIAL, INC.

BD
CRD#: 7130
NEW ALBANY, IN
Past

July 2, 2003 - November 26, 2003

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

March 26, 2002 - July 1, 2003

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY
Past

July 23, 2001 - March 26, 2002

KIMBERLY SECURITIES, INC.

BD
CRD#: 19241
HUNTINGTON, NY
Past

January 29, 1999 - February 28, 2001

W.A. CAPITAL MARKETS

BD
CRD#: 6292
NEW YORK, NY
Past

June 11, 1996 - January 26, 1999

LCP CAPITAL CORP.

BD
CRD#: 14469
STATEN ISLAND, NY
Past

May 1, 1987 - December 21, 1991

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

August 24, 1977 - June 5, 1978

DRYSDALE SECURITIES CORPORATION

BD
CRD#: 1685
Past

June 1, 1971 - May 30, 1973

WEIS SECURITIES, INC.

BD
CRD#: 880

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

Principal/Supervisory Exam
RR
Series 10
Date: 5/1/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/28/2000
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/28/1996
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 5/27/1971
General Securities Principal Examination

Current Firm

GF
GUNNALLEN FINANCIAL, INC
GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

BD
Terminated by SEC on 06/11/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 01/15/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GUNNALLEN HOLDINGS, INC.SHAREHOLDER
DANIELS, KEVIN CHRISTIANEVP OF TRADING, CHIEF COMPLIANCE OFFICER2041956
KRAUS, FREDERICK OSCAR JRPRESIDENT, CFO, FINOP1393886

Disclosures

Regulatory Event17
Arbitration13

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.

Company Information

GUNNALLEN FINANCIAL, INC

CRD#: 17609

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