John D. Wainwright
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 Duncan Wainwright, who also goes by John Wainwright, 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 63, Series 3, Series 7TO, SIE, Series 6 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2021 - June 24, 2026
TASTYTRADE, INC.
April 18, 2019 - May 24, 2021
NYLIFE DISTRIBUTORS LLC
September 2, 2016 - October 19, 2018
KEY INVESTMENT SERVICES LLC
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 7TO
Date: 2/5/2021
General Securities Representative ExaminationCurrent Firm
TASTYTRADE, INC.
CRD#: 277027 / SEC#: , 8-69649
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TASTYLIVE, INC. | OWNER | |
| ADLER, KERRY ANN PATRICIA | INTERIM CHIEF COMPLIANCE OFFICER | 3269947 |
| BRASIL DE OLIVEIRA, LUIS FERNANDO | CHIEF OPERATING OFFICER | 5652832 |
| CHIOU, JASON | HEAD OF CLIENT BROKERAGE SERVICES | 6757512 |
| GRACE, CHRISTOPHER WILLIAM | HEAD OF BROKERAGE TRADING OPERATIONS | 5985000 |
| MONTERRUBIO, DAMON | AML COMPLIANCE OFFICER | 5565532 |
| SLOAN, JACQUELINE LEE | FINOP | 2717305 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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