John F. Gessford
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 Frederic Gessford, who also goes by John Gessford, was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 2006. John had worked at 4 firms and has passed the Series 63, Series 62 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2007 - April 5, 2010
CAPWEST SECURITIES, INC.
September 26, 2006 - December 6, 2006
COURTLANDT WEALTH MANAGEMENT
August 3, 2006 - December 6, 2006
COURTLANDT SECURITIES CORPORATION
February 17, 2006 - July 25, 2006
BEDROCK SECURITIES, LLC
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
Series 62
Date: 7/30/2008
Corporate Securities Limited Representative ExaminationCurrent Firm
CAPWEST SECURITIES, INC.
CRD#: 30002 / SEC#: , 8-44462
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPSTONE FINANCIAL GROUP, INC. | OWNER | |
| HALL, DALE KEITH | CEO, PRESIDENT, TREASURER, CFO, CCO, COO, DIRECTOR, | 706704 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 9 |
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.
