John J. Collins
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 Joseph Collins was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2010 - February 13, 2013
W.A. CAPITAL MARKETS
February 9, 2010 - October 12, 2010
SEIDEL & CO., LLC
March 12, 2007 - June 8, 2007
TWENTY-FIRST SECURITIES CORPORATION
November 22, 2004 - October 11, 2006
CHAPDELAINE CORPORATE SECURITIES & CO
November 2, 2004 - November 17, 2004
TULLETT LIBERTY BROKERAGE INC.
March 22, 2002 - October 29, 2004
CHAPDELAINE CORPORATE SECURITIES & CO
August 3, 2001 - March 20, 2002
BURLINGTON CAPITAL MARKETS INC.
December 23, 1999 - June 6, 2001
BULL & BEAR SECURITIES, INC.
February 26, 1999 - May 5, 1999
TUCKER ANTHONY INCORPORATED
August 27, 1997 - February 13, 1998
ABN AMRO INCORPORATED
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
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
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.
