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JW

John D. Whitaker

ALT FUND DISTRIBUTORS LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 4351545
JW

Professional summary

John David Whitaker is a registered financial professional currently at ALT FUND DISTRIBUTORS LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 2001. John has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 David Whitaker's 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

March 31, 2017 - Present

ALT FUND DISTRIBUTORS LLC

Office #1: 140 East 45th Street Suite 15 B, New York, NY 10017
BD
CRD#: 146547
New York, NY
Past

July 2, 2013 - September 6, 2016

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
NEW YORK, NY
Past

January 3, 2006 - June 11, 2013

BNY MELLON SECURITIES CORPORATION

RIA
CRD#: 231
NEW YORK, NY
Past

April 19, 2004 - December 31, 2005

BNY MELLON SECURITIES CORPORATION

RIA
CRD#: 231
NEW YORK, NY
Past

March 3, 2004 - June 11, 2013

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

April 6, 2001 - August 13, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

RR
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

RR
New York
(3/31/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/20/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/5/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALT FUND DISTRIBUTORS LLC
ALT FUND DISTRIBUTORS LLC | CATALYST MUTUALS FUND DISTRIBUTORS LLC | CAPITAL REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES LLC

CRD#: 146547 / SEC#: , 8-67829

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
140 East 45th Street Suite 15 B, New York, NY 10017
Mailing Address
140 East 45th Street Suite 15 B, New York, NY 10017
Phone number
(646) 757-8062
Established
Colorado since 12/18/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MFUND DISTRIBUTORS LLCOWNER
MEEHAN, KEVIN PATRICKCCO, FINOP4652695
MILDER, LARRY IRWINCEO1306646

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.

Company Information

ALT FUND DISTRIBUTORS LLC

CRD#: 146547New York, NY 10017

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