John J. Shivar
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 Joseph Shivar, who also goes by Jay Joseph Shivar, Jay Shivar, John J Shivar, John Jay Shivar, John Joseph Shivar, Jay Shivar, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2005. John had worked at 10 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2019 - November 8, 2022
ALPHASTAR CAPITAL MANAGEMENT
September 25, 2017 - July 13, 2018
AE WEALTH MANAGEMENT, LLC
December 15, 2016 - September 22, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 14, 2016 - September 22, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 24, 2014 - December 11, 2014
ST. BERNARD FINANCIAL SERVICES, INC.
June 1, 2011 - March 2, 2012
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
February 27, 2009 - June 10, 2011
NYLIFE SECURITIES LLC
October 21, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 3, 2008 - October 23, 2008
SIGMA FINANCIAL CORPORATION
October 26, 2007 - May 23, 2008
EQUITABLE ADVISORS, LLC
September 16, 2005 - May 23, 2008
EQUITABLE ADVISORS, LLC
March 23, 2005 - September 2, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
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
Current Firm
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,592 |
| AUM (Assets Under Management) | $ 1,841,154,148 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/12/2023 | ||
| 06/27/2023 | ||
| 01/24/2023 |
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.
