John M. Abio
Professional summary
John Martin Abio was barred by the SEC 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 1999. Prior to being barred, John had worked at 4 firms, which includes BROOKSTREET SECURITIES CORPORATION, QA3 FINANCIAL CORP., USALLIANZ SECURITIES INC., SAN CLEMENTE SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2005 - July 19, 2007
BROOKSTREET SECURITIES CORPORATION
February 4, 2003 - December 5, 2003
QA3 FINANCIAL CORP.
August 31, 2001 - October 18, 2002
USALLIANZ SECURITIES, INC.
January 21, 1999 - July 27, 1999
SAN CLEMENTE SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
Red Flags
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