John B. Shamburg
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 Burton Shamburg was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 10 firms and has passed the Series 63, Series 65, Series 7, Series 5, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2011 - January 16, 2013
CAPNET SECURITIES CORPORATION
April 19, 2006 - October 11, 2006
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 2, 2004 - October 11, 2006
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 2, 2002 - December 11, 2002
EDWARD JONES
September 30, 1986 - January 8, 2002
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
October 17, 1985 - July 25, 1986
W&S BROKERAGE SERVICES, INC.
February 24, 1978 - September 28, 1978
MORGAN STANLEY DW INC.
September 20, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
January 10, 1977 - May 17, 1985
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
April 10, 1975 - October 2, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
October 23, 1972 - March 2, 1978
TOLD SECURITIES, INC.
September 29, 1970 - November 8, 1971
DEAN WITTER & CO. INCORPORATED
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
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationSeries 1
Date: 9/14/1970
Registered Representative ExaminationSeries 40
Date: 1/24/1977
Registered Principal ExaminationSeries 12
Date: 1/10/1977
NYSE Branch Manager ExaminationCurrent Firm
CAPNET SECURITIES CORPORATION
CRD#: 23669 / SEC#: , 8-40635
Contact information
Documents
Red Flags
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