JE
John R. Estes
D.E. SHAW SECURITIES, L.L.C.
NEW YORK, NY 10001
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CRD#: 5542772
JE
Professional summary
John Richard Estes III, who also goes by John Richard III Estes, is a registered financial professional currently at D.E. SHAW SECURITIES, L.L.C. located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 2008. John has worked at 2 firms and has passed the Series 63, Series 32, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John Richard Iii Estes
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 Richard Estes III'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
May 20, 2020 - Present
D.E. SHAW SECURITIES, L.L.C.
Office #1: Two Manhattan West 375 Ninth Avenue 52nd Floor, New York, NY, 10001Office #2: Two Manhattan West 375 Ninth Avenue 52nd Floor, New York, NY, 10001BD
CRD#: 24332
NEW YORK, NY
Past
October 1, 2008 - April 19, 2013
BLACKSTONE SECURITIES PARTNERS L.P.
BD
CRD#: 17917
NEW YORK, NY
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(5/21/2020)
RR
Alaska(5/28/2020)
RR
Arizona(5/21/2020)
RR
Arkansas(5/22/2020)
RR
California(5/21/2020)
RR
Colorado(5/29/2020)
RR
Connecticut(5/21/2020)
RR
Delaware(5/28/2020)
RR
District of Columbia(5/21/2020)
RR
Florida(5/21/2020)
RR
Georgia(5/21/2020)
RR
Hawaii(5/21/2020)
RR
Idaho(5/21/2020)
RR
Illinois(5/22/2020)
RR
Indiana(5/22/2020)
RR
Iowa(5/27/2020)
RR
Kansas(6/16/2020)
RR
Kentucky(5/22/2020)
RR
Louisiana(5/27/2020)
RR
Maine(5/21/2020)
RR
Maryland(5/20/2020)
RR
Massachusetts(5/21/2020)
RR
Michigan(5/26/2020)
RR
Minnesota(5/21/2020)
RR
Mississippi(5/21/2020)
RR
Missouri(5/21/2020)
RR
Montana(5/21/2020)
RR
Nebraska(8/14/2020)
RR
Nevada(6/4/2020)
RR
New Hampshire(6/11/2020)
RR
New Jersey(6/4/2020)
RR
New Mexico(5/22/2020)
RR
New York(5/21/2020)
RR
North Carolina(5/21/2020)
RR
North Dakota(5/26/2020)
RR
Ohio(5/20/2020)
RR
Oklahoma(5/21/2020)
RR
Oregon(5/21/2020)
RR
Pennsylvania(5/21/2020)
RR
Puerto Rico(5/26/2020)
RR
Rhode Island(5/21/2020)
RR
South Carolina(5/21/2020)
RR
South Dakota(5/22/2020)
RR
Tennessee(5/22/2020)
RR
Texas(5/28/2020)
RR
Utah(5/21/2020)
RR
Vermont(5/21/2020)
RR
Virginia(5/22/2020)
RR
Washington(5/22/2020)
RR
West Virginia(5/26/2020)
RR
Wisconsin(5/20/2020)
RR
Wyoming(5/21/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DS
D.E. SHAW SECURITIES, L.L.C.
D. E. SHAW SECURITIES, L.P. | EASTBORNE PARTNERS, L.P. | D.E. SHAW SECURITIES, L.L.C.
CRD#: 24332 / SEC#: , 8-40745
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
Two Manhattan West 375 Ninth Avenue 52nd Floor, New York, NY, 10001
Mailing Address
Two Manhattan West 375 Ninth Avenue 52nd Floor, New York, NY, 10001
Phone number
(212) 478-0000
Established
Delaware since 11/13/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D. E. SHAW & CO., L.P. | SOLE MEMBER | |
| CATLETT, JOHNATHAN EDWARD | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; AND FINANCIAL AND OPERATIONS PRINCIPAL | 7444459 |
| DINNING, ANNE CAROLYN | MANAGING DIRECTOR | 2078654 |
| FISHMAN, EDWARD LAURENCE | MANAGING DIRECTOR | 2656095 |
| HALABY, ALEXIS ANNE | MANAGING DIRECTOR | 4719650 |
| MARCUS, DANIEL ROBBINS | CHIEF COMPLIANCE OFFICER | 7889060 |
| STONE, MAXIMILIAN DANA | MANAGING DIRECTOR | 2246217 |
Disclosures
| Regulatory Event | 5 |
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.
