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JF

John R. Feloni

Some features on this profile are disabled
CRD#: 721235
JF

Professional summary

John Richard Feloni was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, John had worked at 9 firms, which includes FIRST DUNBAR SECURITIES CORPORATION, OPPENHEIMER & CO. INC., TUCKER ANTHONY INCORPORATED, LPL FINANCIAL LLC, MORGAN STANLEY DW INC., LEHMAN BROTHERS INC., DREXEL BURNHAM LAMBERT INCORPORATED, E. F. HUTTON & COMPANY INC, F. L. PUTNAM & COMPANY INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 24, 2006 - June 23, 2006

FIRST DUNBAR SECURITIES CORPORATION

BD
CRD#: 17901
EAST BERLIN, CT
Past

March 24, 2006 - February 6, 2007

OPPENHEIMER & CO. INC.

BD
CRD#: 249
BOSTON, MA
Past

June 3, 1991 - February 6, 1992

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
Past

January 1, 1991 - January 3, 1991

LPL FINANCIAL LLC

BD
CRD#: 6413
Past

June 3, 1988 - January 1, 1989

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

February 15, 1988 - March 3, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

January 25, 1988 - August 2, 1988

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

April 28, 1981 - February 15, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

December 22, 1980 - March 23, 1981

F. L. PUTNAM & COMPANY, INC.

BD
CRD#: 6305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/14/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/26/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/2/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 7/30/1986
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

FD
FIRST DUNBAR SECURITIES CORPORATION
FIRST DUNBAR SECURITIES CORPORATION

CRD#: 17901 / SEC#: , 8-35940

BD
Terminated by SEC on 12/01/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 03/06/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
VPC HOLDINGS, LLCINVESTOR
BOWERS, RICHARD MICHAELPRESIDENT1263206
OCCHIPINTI, SAMUEL FRANKFINOP
SPELLMAN, FRANCIS ROBERTDIRECTOR

Disclosures

Regulatory Event1

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.

Company Information

FIRST DUNBAR SECURITIES CORPORATION

CRD#: 17901

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