John Fosselman
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 Fosselman, who also goes by Jack Fosselman, John Thomas Fosselman, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2016. John had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2018 - March 31, 2022
KATALYST SECURITIES LLC
April 6, 2018 - September 13, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 6, 2018 - September 13, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 2016 - February 14, 2018
EDWARD JONES
July 25, 2016 - February 14, 2018
EDWARD JONES
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
Current Firm
KATALYST SECURITIES LLC
CRD#: 112494 / SEC#: , 8-53260
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES OPERATIONS SPECIALISTS INC. | SHAREHOLDER | |
| KEMPISTY, PHILIP CHARLES | CHIEF COMPLIANCE OFFICER | 1279668 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
