John E. Dalby
Professional summary
John Edward Dalby, who also goes by John E Dalby, John Dalby, is a registered financial professional currently at HENNION & WALSH, INC. located in Parsippany, New Jersey.
John is registered as a RR (Registered Representative) and started their career in finance in 2013. John has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Edward Dalby's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 15, 2017 - Present
HENNION & WALSH, INC.
Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018August 15, 2015 - September 14, 2017
FIRST STANDARD FINANCIAL COMPANY LLC
January 1, 2013 - November 22, 2013
ALEXANDER CAPITAL, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/15/2017)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
HENNION & WALSH, INC.
CRD#: 25766 / SEC#: , 8-41988
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENNION, RICHARD | EXECUTIVE VICE PRESIDENT | 1315386 |
| WALSH, WILLIAM WALTER | PRESIDENT | 1174993 |
| FITZSIMMONS, PHILLIP | CHIEF COMPLIANCE OFFICER | 1625889 |
| HENNION, WILLIAM | VICE PRESIDENT | 2048378 |
| KOWALSKI, STEPHEN GEORGE | VICE PRESIDENT | 1919574 |
| MAHN, KEVIN DOUGLAS | MANAGING DIRECTOR | 2519398 |
| WURST, WENDY ANN | FINOP, TREASURER | 1902879 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 6 |
Red Flags
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