John C. Auty
Professional summary
John Crawford Auty, who also goes by Jj Auty, is a registered financial professional currently at WALL STREET ACCESS located in Park Ridge, New Jersey.
John is registered as a RR (Registered Representative) and started their career in finance in 1998. John has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Crawford Auty's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 2, 2018 - Present
WALL STREET ACCESS
Office #1: One Maynard Drive Suite 2201, Park Ridge, NJ 07656September 18, 2008 - July 2, 2018
VANDHAM SECURITIES CORP.
August 18, 2006 - September 11, 2008
CITIGROUP GLOBAL MARKETS INC.
August 2, 2004 - August 18, 2006
TD WATERHOUSE CAPITAL MARKETS, INC.
November 12, 2003 - July 16, 2004
CROWN FINANCIAL GROUP, INC.
April 17, 2002 - November 12, 2003
KNIGHT CAPITAL AMERICAS, L.P.
April 19, 2000 - April 8, 2002
UBS CAPITAL MARKETS L.P.
October 1, 1998 - April 18, 2000
NEBRASKA HUDSON COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/2/2018)
(7/2/2018)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/12/2000
Limited Representative-Equity Trader ExamFINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
Red Flags
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