John M. Carson
Professional summary
John Michael Carson was barred by the FINRA 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 1970. Prior to being barred, John had worked at 9 firms, which includes NATIONAL PLANNING CORPORATION, IFG NETWORK SECURITIES INC., KEOGLER MORGAN & COMPANY INC., RAYMOND JAMES & ASSOCIATES INC., LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC., REYNOLDS SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 1999 - March 26, 2004
NATIONAL PLANNING CORPORATION
January 16, 1997 - March 18, 1999
IFG NETWORK SECURITIES, INC.
November 2, 1993 - January 20, 1997
KEOGLER, MORGAN & COMPANY, INC.
December 18, 1989 - October 27, 1993
RAYMOND JAMES & ASSOCIATES, INC.
May 14, 1988 - December 5, 1989
LEHMAN BROTHERS INC.
December 8, 1983 - May 14, 1988
E. F. HUTTON & COMPANY INC
October 1, 1979 - January 30, 1984
PRUDENTIAL EQUITY GROUP, LLC
February 24, 1978 - August 9, 1979
MORGAN STANLEY DW INC.
August 25, 1970 - February 24, 1978
REYNOLDS SECURITIES, 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
PC
Date: 6/19/1985
AMEX Put and Call ExamSeries 1
Date: 10/8/1969
Registered Representative ExaminationCurrent Firm
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
Red Flags
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