John L. Depalo
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 L Depalo, who also goes by Jack Depalo, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 12 firms and has passed the Series 63 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
May 17, 1995 - January 4, 1996
JOSEPHTHAL & CO., INC.
May 4, 1993 - December 13, 1994
S. D. COHN & CO., INC.
June 8, 1990 - June 4, 1992
BARRETT DAY SECURITIES, INC.
October 16, 1989 - May 11, 1990
WELLSHIRE SECURITIES, INC.
May 24, 1989 - November 9, 1989
SILVER, GRAY & CO., INC.
September 2, 1987 - May 4, 1989
WALL STREET EQUITIES INCORPORATED
January 25, 1979 - August 12, 1987
COSENTINO & DE FELICE, INC.
February 3, 1978 - January 8, 1979
JAY W. KAUFMANN & CO.
January 11, 1977 - February 20, 1978
FIRST JERSEY SECURITIES, INC.
October 8, 1974 - January 22, 1977
JAY W. KAUFMANN & CO.
June 27, 1974 - October 19, 1974
ADVEST, INC.
November 15, 1971 - June 1, 1974
EDWARDS & HANLY
September 1, 1970 - December 29, 1971
E. F. HUTTON & COMPANY 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 1
Date: 6/8/1964
Registered Representative ExaminationCurrent Firm
JOSEPHTHAL & CO., INC.
CRD#: 3227 / SEC#: , 8-5651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHTHAL CAPITAL GROUP, INC. | PARENT | |
| AGOSTA, SALVATORE FRANK | CHIEF FINANCIAL OFFICER | 1253738 |
| FICHTNER, HENRY ARTHUR | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | 1327009 |
| FITZGERALD, PAUL HENRY | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | 812775 |
| HURLEY, KEVIN BRADY | COMPLIANCE DIRECTOR | 1293748 |
| KRONENBERG, DAVID HIRSCH | CHIEF ADMINISTRATIVE OFFICER | 1799665 |
| MATYCKAS, EDWARD STANLEY | CROP/SROP | 1405961 |
| MCCABE, DONALD GERARD | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | 1367480 |
| MCNAMARA, DENNIS PATRICK | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | 2938486 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 12 |
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.
