John R. Blot
Professional summary
John Rholtz Blot was barred by both the FINRA and 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 5 firms, which includes NATIONAL SECURITIES CORPORATION, SALOMON GREY FINANCIAL CORPORATION, WINDSOR STREET CAPITAL LP, LH ROSS & COMPANY INC., LCP CAPITAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2004 - May 23, 2006
NATIONAL SECURITIES CORPORATION
February 7, 2001 - December 4, 2002
SALOMON GREY FINANCIAL CORPORATION
April 26, 2000 - February 5, 2001
WINDSOR STREET CAPITAL, LP
June 28, 1999 - May 1, 2000
LH ROSS & COMPANY, INC.
March 12, 1999 - June 22, 1999
LCP CAPITAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
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