John A. Vanraalte
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 Alan Vanraalte was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1964. John had worked at 9 firms and has passed the Series 63 and PC exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2003 - May 6, 2013
CANTELLA & CO., INC.
February 5, 2002 - May 13, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 1, 1993 - December 31, 2001
OPPENHEIMER & CO. INC.
October 11, 1991 - November 16, 1993
JOSEPHTHAL & CO., INC.
December 14, 1988 - October 23, 1991
JJC SECURITIES CO., INC.
June 20, 1988 - December 3, 1988
EVANS & CO., INC.
April 13, 1988 - July 5, 1988
OPPENHEIMER & CO. INC.
March 18, 1974 - April 13, 1988
FAHNESTOCK INTERNATIONAL INC.
October 24, 1973 - April 9, 1974
JII SECURITIES INC.
February 13, 1964 - December 2, 1973
ANDRESEN & CO.
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: 8/31/1977
AMEX Put and Call ExamCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
