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JW

John Wakefield

NORTH CAPITAL PRIVATE SECURITIES
Menomonee Falls, WI 53051
Some features on this profile are disabled
CRD#: 7307214
JW

Professional summary

John Wakefield is a registered financial professional currently at NORTH CAPITAL PRIVATE SECURITIES CORPORATION located in Menomonee Falls, Wisconsin.

John is registered as a RR (Registered Representative) and started their career in finance in 2020. John has worked at 2 firms and has passed the Series 63, Series 7TO, Series 82TO and SIE exams.

top-8-questions

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) - BD

Click below to view John Wakefield's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

March 8, 2022 - Present

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

Office #1: W134 N8675 Executive Parkway, Menomonee Falls, WI 53051
BD
CRD#: 154559
Menomonee Falls, WI
Past

October 30, 2020 - January 12, 2022

GROWTH CAPITAL SERVICES, INC.

BD
CRD#: 124658
Menomonee Falls, WI

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(3/8/2022)
RR
Alaska
(3/8/2022)
RR
Arizona
(3/8/2022)
RR
Arkansas
(3/8/2022)
RR
California
(3/8/2022)
RR
Colorado
(3/8/2022)
RR
Connecticut
(3/8/2022)
RR
Delaware
(3/8/2022)
RR
District of Columbia
(3/8/2022)
RR
Florida
(3/8/2022)
RR
Georgia
(3/8/2022)
RR
Hawaii
(3/8/2022)
RR
Idaho
(3/8/2022)
RR
Illinois
(3/8/2022)
RR
Indiana
(3/8/2022)
RR
Iowa
(3/8/2022)
RR
Kansas
(3/8/2022)
RR
Kentucky
(3/8/2022)
RR
Louisiana
(3/8/2022)
RR
Maine
(3/8/2022)
RR
Maryland
(3/8/2022)
RR
Massachusetts
(3/8/2022)
RR
Michigan
(3/8/2022)
RR
Minnesota
(3/8/2022)
RR
Mississippi
(3/8/2022)
RR
Missouri
(3/8/2022)
RR
Montana
(3/8/2022)
RR
Nebraska
(3/8/2022)
RR
Nevada
(3/8/2022)
RR
New Hampshire
(3/8/2022)
RR
New Jersey
(3/8/2022)
RR
New Mexico
(3/8/2022)
RR
New York
(3/8/2022)
RR
North Carolina
(3/8/2022)
RR
North Dakota
(3/8/2022)
RR
Ohio
(3/13/2022)
RR
Oklahoma
(3/8/2022)
RR
Oregon
(3/8/2022)
RR
Pennsylvania
(3/8/2022)
RR
Puerto Rico
(3/8/2022)
RR
Rhode Island
(3/8/2022)
RR
South Carolina
(3/8/2022)
RR
South Dakota
(3/8/2022)
RR
Tennessee
(3/8/2022)
RR
Texas
(3/8/2022)
RR
Utah
(3/8/2022)
RR
Vermont
(3/8/2022)
RR
Virgin Islands
(5/2/2024)
RR
Virginia
(3/8/2022)
RR
Washington
(3/8/2022)
RR
West Virginia
(3/8/2022)
RR
Wisconsin
(3/8/2022)
RR
Wyoming
(3/8/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 9/4/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/10/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 10/30/2020
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 8/28/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559 / SEC#: , 8-68648

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
Mailing Address
623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
Phone number
(415) 315-9916
Established
Delaware since 05/20/2010
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NORTH CAPITAL INVESTMENT TECHNOLOGY, INC.OWNER
ANDERSON, JOSEPH CARLCHIEF COMPLIANCE OFFICER, CHIEF AML COMPLIANCE OFFICER4644204
BEATON, DANIEL STEWARTFINOP/CFO4240769
DOWD, JAMES PATRICKPRESIDENT, EXECUTIVE REP., H.O. SUPER2109413

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

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559Menomonee Falls, WI 53051

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