Jack B. Vasconcellos
Professional summary
Jack Barnes Vasconcellos was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jack is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Jack had worked at 6 firms, which includes WAMU INVESTMENTS INC., AVANTAX ADVISORY SERVICES, AVANTAX INVESTMENT SERVICES INC., WADDELL & REED, CAPITAL BROKERAGE CORPORATION, WALNUT STREET SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2006 - November 13, 2006
WAMU INVESTMENTS, INC.
August 21, 2006 - November 13, 2006
WAMU INVESTMENTS, INC.
October 7, 2004 - September 6, 2006
AVANTAX ADVISORY SERVICES
September 7, 2004 - August 29, 2006
AVANTAX INVESTMENT SERVICES, INC.
August 13, 2001 - April 24, 2003
WADDELL & REED
June 22, 2001 - April 24, 2003
WADDELL & REED
February 17, 2000 - June 14, 2001
CAPITAL BROKERAGE CORPORATION
September 8, 1998 - December 22, 1999
WALNUT STREET SECURITIES, INC.
October 23, 1997 - September 9, 1998
AVANTAX INVESTMENT SERVICES, INC.
June 19, 1996 - September 4, 1998
CAPITAL BROKERAGE CORPORATION
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
WAMU INVESTMENTS, INC.
CRD#: 599 / SEC#: , 8-3641
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC. | DIRECT OWNER | |
| CECILIO, ROBERT MARC | DIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 1539928 |
| CHABOT, ALAN JAMES | DIRECTOR | 2617874 |
| HENRY, J. CHRISTOPHER | DIRECTOR | 5591455 |
| PERSONS, AARON MATTHEW | FIRST VICE PRESIDENT | 2216151 |
| RHEE, LISA HAMMOND | FINOP | 3251733 |
| WILBURN, DOUGLAS FREDERICK | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 18 |
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.
