John J. Dalton
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 Dalton SR, who also goes by John Joseph Dalton, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1973. John had worked at 19 firms and has passed the Series 63, SIE, Series 55 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2016 - April 4, 2017
NORTH SOUTH CAPITAL, LLC
December 22, 2008 - February 22, 2011
SETON SECURITIES GROUP, INC.
November 18, 2008 - December 23, 2008
DOMESTIC SECURITIES, INC.
November 17, 2008 - December 23, 2008
RUSHMORE CAPITAL, INC.
June 25, 2003 - November 20, 2008
WESTMINSTER SECURITIES CORPORATION
February 2, 1998 - September 28, 2001
APEX CLEARING CORPORATION
October 14, 1997 - February 2, 1998
NASH, WEISS & CO.
January 30, 1992 - October 14, 1997
NASH, WEISS & CO.
November 30, 1988 - January 6, 1992
PARAGON CAPITAL MARKETS, INC.
January 20, 1986 - December 3, 1988
GREENTREE SECURITIES CORP.
November 29, 1984 - January 6, 1986
UBS CAPITAL MARKETS L.P.
March 13, 1980 - August 7, 1984
HERZOG, HEINE, GEDULD, LLC
April 6, 1979 - May 1, 1980
JII SECURITIES INC.
February 6, 1978 - May 23, 1980
JOSEPHTHAL & CO., INC.
August 10, 1977 - February 3, 1978
DALEY & COMPANY
September 30, 1976 - August 27, 1977
SOURCE SECURITIES CORPORATION
March 6, 1975 - August 25, 1976
DEUTSCHE BANK CAPITAL CORPORATION
March 6, 1974 - June 11, 1974
SINGER MACKIE INC
May 15, 1973 - September 14, 1973
M. S. WIEN & CO., INC.
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 55
Date: 3/15/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 5/7/1973
Registered Representative ExaminationCurrent Firm
NORTH SOUTH CAPITAL, LLC
CRD#: 148158 / SEC#: , 8-67979
Contact information
FINRA licenses (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 136 |
| AUM (Assets Under Management) | $ 25,887,891 |
Disclosures
| Regulatory Event | 1 |
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.
