John Douglas Faulkner
Professional Summary
John Douglas Faulkner, who also goes by Doug Faulkner, was a registered financial advisor. John was a previously registered financial advisor and started their career in finance 1997 - 2009. John had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Doug Faulkner
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
BROADMARK CAPITAL CORP | JESUP & LAMONT SECURITIES CORP. | JESUP & LAMONT SECURITIES CORP | BROADMARK SECURITIES CORPORATION | BROADMARK CAPITAL CORP.
Contact Information
Established
Washington since 07/27/1995Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JESUP AND LAMONT, INC | OWNER | — |
| HOLUB, WILLIAM C | FINOP, CFO, COO, CCO | 2680290 |
Disclosures
Regulatory Event
15Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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