JC
John D. Cross
DASH FINANCIAL TECHNOLOGIES LLC
Jersey City, NJ 07302
Some features on this profile are disabled
CRD#: 4720463
JC
Professional summary
John David Cross, who also goes by John Cross, is a registered financial professional currently at DASH FINANCIAL TECHNOLOGIES LLC located in Jersey City, New Jersey.
John is registered as a RR (Registered Representative) and started their career in finance in 2003. John has worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John Cross
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.
CRS (Client Relationship Summary) - BD
Click below to view John David Cross'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®
NoneExperience
Current
March 1, 2017 - Present
DASH FINANCIAL TECHNOLOGIES LLC
Office #1: 70 Hudson Street, Jersey City, NJ 07302BD
CRD#: 104031
Jersey City, NJ
Past
December 1, 2014 - March 1, 2017
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
NEW YORK, NY
Past
March 6, 2009 - December 1, 2014
LIQUIDPOINT, LLC
BD
CRD#: 47658
CHICAGO, IL
Past
September 5, 2007 - November 11, 2008
VTRADER PRO, LLC
BD
CRD#: 131920
SAN FRANCISCO, CA
Past
March 23, 2006 - April 2, 2008
SAMPLE & CROSS CAPITAL MANAGEMENT LLC
RIA
CRD#: 139683
LAKE FOREST, IL
Past
January 7, 2004 - March 29, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BARRINGTON, IL
Past
December 12, 2003 - March 29, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BARRINGTON, IL
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
Alabama(3/20/2017)
RR
Arizona(10/10/2018)
RR
California(3/1/2017)
RR
Colorado(3/20/2017)
RR
Connecticut(3/1/2017)
RR
District of Columbia(3/20/2017)
RR
Florida(3/1/2017)
RR
Georgia(3/1/2017)
RR
Illinois(3/1/2017)
RR
Kansas(3/20/2017)
RR
Maryland(3/20/2017)
RR
Massachusetts(3/1/2017)
RR
Michigan(3/20/2017)
RR
Minnesota(3/1/2017)
RR
Missouri(3/20/2017)
RR
Nebraska(3/20/2017)
RR
Nevada(3/20/2017)
RR
New Hampshire(3/20/2017)
RR
New Jersey(3/1/2017)
RR
New York(3/1/2017)
RR
North Carolina(3/1/2017)
RR
Ohio(3/20/2017)
RR
Pennsylvania(3/20/2017)
RR
Texas(3/1/2017)
RR
Virginia(3/20/2017)
RR
Wisconsin(3/20/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
DF
DASH FINANCIAL TECHNOLOGIES LLC
DASH FINANCIAL LLC | ELECTRONIC BROKERAGE SYSTEMS, LLC | ELECTRONIC BROKERAGE SYSTEMS, INC. | DASH FINANCIAL TECHNOLOGIES LLC
CRD#: 104031 / SEC#: , 8-52503
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
200 S.wacker Drive Suite 2450, Chicago, IL 60606
Mailing Address
200 S.wacker Drive Suite 2450, Chicago, IL 60606
Phone number
(312) 986-2006
Established
Delaware since 12/18/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (26 States and Territories)
Documents
Disclosures
| Regulatory Event | 68 |
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.
