John S. Baek

JOSEPH STONE CAPITAL L.L.C.

Garden City, NY 11530

Some features on this profile are disabled

CRD#: 3188422

Professional summary

John Seungwoo Baek, who also goes by John Baek, Seungwoo Baek, is a registered financial professional currently at JOSEPH STONE CAPITAL L.L.C. located in Garden City, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 2000. John has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Baek | Seungwoo Baek

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) - BD

Click below to view John Seungwoo Baek's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 20, 2023 - Present

JOSEPH STONE CAPITAL L.L.C.

Office #1: 585 Stewart Ave Suite L60c, Garden City, NY 11530

CRD#: 159744

Garden City, NY

Past

January 16, 2014 - December 21, 2021

JOSEPH STONE CAPITAL L.L.C.

CRD#: 159744

MINEOLA, NY

Past

February 16, 2011 - December 3, 2013

WOODSTOCK FINANCIAL GROUP, INC.

CRD#: 38095

FARMINGDALE, NY

Past

October 17, 2008 - February 23, 2011

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

GARDEN CITY, NY

Past

December 14, 2005 - October 17, 2008

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

WESTBURY, NY

Past

February 9, 2005 - December 13, 2005

MILESTONE FINANCIAL SERVICES, INC.

CRD#: 43295

BOHEMIA, NY

Past

August 17, 2004 - February 4, 2005

S.W. BACH & COMPANY

CRD#: 43522

PORT WASHINGTON, NY

Past

January 6, 2004 - July 23, 2004

GRANITE ASSOCIATES, INC

CRD#: 46682

DELRAY BEACH, FL

Past

April 21, 2003 - January 21, 2004

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

Past

January 10, 2001 - May 20, 2003

HARRISON SECURITIES, INC.

CRD#: 14103

PORT WASHINGTON, NY

Past

March 13, 2000 - December 22, 2000

MORGAN, TAYLOR & ASSOCIATES, INC.

CRD#: 37447

MINEOLA, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/12/2023)

Delaware
(7/29/2025)

Florida
(10/3/2024)

Illinois
(7/12/2023)

Maryland
(3/31/2025)

Minnesota
(7/12/2023)

New York
(6/20/2023)

Tennessee
(3/11/2024)

Texas
(7/12/2023)

Exams

State Security Law Exam

Series 63

Date: 5/16/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/10/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

JOSEPH STONE CAPITAL L.L.C.

CRD#: 159744 / SEC#: , 8-69014

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

585 Stewart Ave Suite L60c, Garden City, NY 11530

Mailing Address

585 Stewart Ave Suite L60c, Garden City, NY 11530

Phone number

(516) 267-7001

Established

Delaware since 11/04/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DPMM HOLDINGS L.L.C.	HOLDING COMPANY
GRAZIANO, ANTHONY JOSEPH	CCO	2862096
MAGGIO, DAMIAN	CEO	2864247
NIXON, JON ALAN	FINOP	4710715

Disclosures

Regulatory Event	5
Arbitration	3

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

Matthew James Wang

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John S. Baek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Seungwoo Baek's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOSEPH STONE CAPITAL L.L.C.

WOODSTOCK FINANCIAL GROUP, INC.

FIRST MIDWEST SECURITIES, INC.

J.P. TURNER & COMPANY, L.L.C.

MILESTONE FINANCIAL SERVICES, INC.

S.W. BACH & COMPANY

GRANITE ASSOCIATES, INC

CONTINENTAL BROKER-DEALER CORP.

HARRISON SECURITIES, INC.

MORGAN, TAYLOR & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/16/2000

SIE

Date: 10/1/2018

Series 7

Date: 3/10/2000

FINRA

Current Firm

JOSEPH STONE CAPITAL L.L.C.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

JOSEPH STONE CAPITAL L.L.C.

TRUST BUT VERIFY

Similar Advisors