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JK

John L. Kurtz

ASCENDIANT CAPITAL MARKETS
Jupiter, FL 33477
Some features on this profile are disabled
CRD#: 276855
JK

Professional summary

John Lewis Kurtz JR, who also goes by John L Kurtz Jr, is a registered financial professional currently at ASCENDIANT CAPITAL MARKETS, LLC located in Jupiter, Florida.

John is registered as a RR (Registered Representative) and started their career in finance in 1968. John has worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John L Kurtz 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Lewis Kurtz 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

February 11, 2014 - Present

ASCENDIANT CAPITAL MARKETS, LLC

Office #1: 110 Front Street, Suite 300, Jupiter, FL 33477
BD
CRD#: 152912
Jupiter, FL
Past

December 3, 2010 - February 11, 2014

MCLINEY AND COMPANY

BD
CRD#: 6936
MISSION, KS
Past

February 14, 2008 - November 14, 2008

NTB FINANCIAL CORPORATION

BD
CRD#: 7425
OVERLAND PARK, KS
Past

June 11, 2001 - December 1, 2005

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
ST. LOUIS, MO
Past

October 18, 2000 - December 5, 2000

GEORGE K. BAUM & COMPANY

BD
CRD#: 36354
KANSAS CITY, MO
Past

May 31, 1994 - October 17, 2000

GEORGE K. BAUM & COMPANY

BD
CRD#: 36354
KANSAS CITY, MO
Past

November 9, 1992 - May 31, 1994

GKB, INC.

BD
CRD#: 350
KANSAS CITY, MO
Past

March 23, 1990 - November 11, 1992

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

July 21, 1989 - March 23, 1990

B.C. CHRISTOPHER SECURITIES CO.

BD
CRD#: 60
KANSAS CITY, MO
Past

November 18, 1986 - August 7, 1989

FIRST MIDWEST CAPITAL CORP.

BD
CRD#: 18499
Past

June 25, 1986 - November 6, 1986

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
Past

December 16, 1968 - July 23, 1986

B.C. CHRISTOPHER SECURITIES CO.

BD
CRD#: 60

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(2/11/2014)
RR
Georgia
(2/11/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 10/22/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 9/15/1964
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ASCENDIANT CAPITAL MARKETS, LLC
ASCENDIANT CAPITAL MARKETS, LLC

CRD#: 152912 / SEC#: , 8-68487

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
110 Front Street, Suite 300, Jupiter, FL 33477
Mailing Address
4 Park Plaza, Suite 1950, Irvine, CA 92614
Phone number
(949) 259-4900
Established
Nevada since 01/04/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ASCENDIANT CAPITAL PARTNERS, LLCPARENT CO / SOLE MEMBER
BERGENDAHL, MARK ALLANPRESIDENT1394272
BROWN, MICHAEL OWENCFO/ FINOP1658070
MEGENITY, BRIAN MCDONALDCCO2889637
WILHITE, BRADLEYCHIEF OPERATING OFFICER4722291

Disclosures

Regulatory Event10

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

ASCENDIANT CAPITAL MARKETS, LLC

CRD#: 152912Jupiter, FL 33477

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