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JF

John D. Faulkner

Some features on this profile are disabled
CRD#: 2956652
JF

Professional summary

John Douglas Faulkner 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 advisor and started their career in finance in 1997. Prior to being barred, John had worked at 8 firms, which includes JESUP & LAMONT SECURITIES CORP, INVESTORS CAPITAL CORP., RAYMOND JAMES FINANCIAL SERVICES INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, UBS FINANCIAL SERVICES INC., PRUDENTIAL EQUITY GROUP LLC, A. G. EDWARDS & SONS INC., MORGAN STANLEY DW INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Doug Faulkner

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

August 18, 2009 - November 25, 2009

JESUP & LAMONT SECURITIES CORP

RIA
CRD#: 39056
FT. LAUDERDALE, FL
Past

August 12, 2009 - November 25, 2009

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
FT. LAUDERDALE, FL
Past

February 18, 2009 - September 11, 2009

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
FT LAUDERDALE, FL
Past

January 15, 2009 - September 11, 2009

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
FT LAUDERDALE, FL
Past

June 20, 2008 - January 20, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
FT LAUDERDALE, FL
Past

June 19, 2008 - January 20, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
FT LAUDERDALE, FL
Past

May 17, 2005 - June 20, 2008

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
FT. LAUDERDALE, FL
Past

April 22, 2005 - June 20, 2008

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
FT. LAUDERDALE, FL
Past

January 9, 2001 - May 11, 2005

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
FT. LAUDERDALE, FL
Past

January 9, 2001 - May 11, 2005

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

November 15, 1999 - January 11, 2001

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

September 30, 1998 - November 15, 1999

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

October 16, 1997 - October 8, 1998

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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
IAR
Series 65
Date: 11/13/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/29/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/14/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/12/2005
General Securities Principal Examination

Current Firm

J&
JESUP & LAMONT SECURITIES CORP
BROADMARK CAPITAL CORP | JESUP & LAMONT SECURITIES CORP. | JESUP & LAMONT SECURITIES CORP | BROADMARK SECURITIES CORPORATION | BROADMARK CAPITAL CORP.

CRD#: 39056 / SEC#: , 8-48893

BD
Terminated by SEC on 11/23/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Washington since 07/27/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JESUP AND LAMONT, INCOWNER
HOLUB, WILLIAM CFINOP, CFO, COO, CCO2680290

Disclosures

Regulatory Event15
Arbitration3

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

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

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