Johnathan D. Hampton
Professional summary
Johnathan D Hampton is a registered financial professional currently at AQUAS FINANCIAL, LLC located in Plano, Texas.
Johnathan is registered as a RR (Registered Representative) and started their career in finance in 2003. Johnathan has worked at 5 firms and has passed the Series 63, Series 6TO, Series 22TO, Series 82TO, Series 99TO, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Johnathan D Hampton's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 25, 2025 - Present
AQUAS FINANCIAL, LLC
Office #1: 5905 Legacy Drive A500, Plano, TX 75024-4118February 23, 2022 - November 26, 2024
AQUAS FINANCIAL, LLC
May 1, 2014 - October 28, 2019
REDI GLOBAL TECHNOLOGIES LLC
February 9, 2009 - May 1, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 3, 2006 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
September 17, 2003 - July 12, 2004
BANC ONE SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/28/2025)
Exams
Series 6TO
Date: 3/25/2025
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Date: 3/25/2025
Direct Participation Programs Representative ExaminationSeries 82TO
Date: 3/25/2025
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 3/25/2025
Operations Professional ExaminationFINRA
Current Firm
AQUAS FINANCIAL, LLC
CRD#: 311274 / SEC#: , 8-70610
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAIN STREET TRUST | SHAREHOLDER | |
| WAYNE WURTSBAUGH 2018 FAMILY DYNASTY TRUST | SHAREHOLDER | |
| ALSEDEK, STEVEN MICHAEL | CHIEF COMPLIANCE OFFICER (CCO), CHIEF RISK OFFICER (CRO), ANTI-MONEY LAUNDERING OFFICER (AMLO) | 2520569 |
| ALSEDEK, STEVEN MICHAEL | COO, POO | 2520569 |
| ALSEDEK, STEVEN MICHAEL | CHIEF FINANCIAL OFFICER (CFO), FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO) | 2520569 |
| JANOWSKI, JEFF | HEAD OF ELECTRONIC TRADING / MARGIN PRINCIPAL / REGISTERED OPTIONS PRINCIPAL / MUNICIPAL SECURITIES PRINCIPAL | 5703929 |
| WURTSBAUGH, WAYNE ALAN | CHIEF TECHNOLOGY OFFICER | 2629833 |
| WURTSBAUGH, WAYNE ALAN | TRUSTEE / CHIEF EXECUTIVE OFFICER | 2629833 |
Red Flags
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Company Information
AQUAS FINANCIAL, LLC
CRD#: 311274Plano, TX 75024-4118TRUST BUT VERIFY
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