John A. Vanvleck
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Andrew Vanvleck, who also goes by Andy Vanvleck, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 4 firms and has passed the Series 63, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2009 - April 26, 2012
LEGEND MERCHANT GROUP, INC.
June 13, 2005 - November 13, 2006
W.R. HAMBRECHT + CO., LLC
March 9, 2004 - August 1, 2005
LEGEND MERCHANT GROUP, INC.
December 7, 2000 - April 9, 2002
JESUP & LAMONT SECURITIES CORP
March 24, 1999 - April 20, 1999
MCLAUGHLIN CAPITAL MARKETS, 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
Exams
Current Firm
LEGEND MERCHANT GROUP, INC.
CRD#: 5155 / SEC#: 801-63525, 8-21703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEDGE END CORP. | OWNER | |
| UNSWORTH, DAVID WOODS JR | CHAIRMAN, CCO, CEO & PRESIDENT | 1609040 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 4 |
| Judgment/Lien | 4 |
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.
