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JF

John C. Ferraro

Some features on this profile are disabled
CRD#: 2756017
JF

Professional summary

John Christian Ferraro was barred by the FINRA 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 1997. Prior to being barred, John had worked at 4 firms, which includes BLUESTONE CAPITAL CORP., MONTROSE CAPITAL MANAGEMENT LTD., JOSEPH GUNNAR & CO. LLC, W.J. NOLAN & COMPANY INC..

top-8-questions

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

May 18, 2000 - September 18, 2000

BLUESTONE CAPITAL CORP.

BD
CRD#: 13516
NEW YORK, NY
Past

January 4, 1999 - April 26, 2000

MONTROSE CAPITAL MANAGEMENT LTD.

BD
CRD#: 40799
NEW YORK, NY
Past

December 4, 1998 - December 9, 1998

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
UNIONDALE, NY
Past

September 16, 1997 - February 26, 1998

W.J. NOLAN & COMPANY, INC.

BD
CRD#: 16465
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 8/18/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/22/1997
General Securities Representative Examination

Current Firm

BC
BLUESTONE CAPITAL CORP.
BLUESTONE CAPITAL CORP. | WHALE SECURITIES CORP. | WHALE SECURITIES CO., L.P. | WHALE SECURITIES CO. | WHALE SECURITIES | WHALE & CO., INC. | SHOCHET SECURITIES A DIVISION OF BLUESTONE CAPITAL CORP.

CRD#: 13516 / SEC#: , 8-29197

BD
Terminated by SEC on 02/19/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/18/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BLUESTONE HOLDING CORP.SHAREHOLDER
BELUSIC, BRANKO PHILIPCFO/TREASURER2989519
GOHD, MATTHEW ARTHURCO- CHAIRMAN/DIRECTOR810443
MCSHERRY, JOSEPH WILLIAMPRESIDENT/COO/DIRECTOR2007353
OCONNOR, DONALD JOSPEHVP-DIRECTOR OF COMPLIANCE1006777
WALTERS, WILLIAM GEORGECO-CHAIRMAN/ DIRECTOR600172

Disclosures

Regulatory Event15
Civil Event2
Arbitration16

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

BLUESTONE CAPITAL CORP.

CRD#: 13516

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