John C. Saxton
Professional summary
John Charles Saxton SR, who also goes by Jack Saxton, John Charles Saxton Sr., is a registered financial professional currently at GARDEN STATE SECURITIES, INC. located in Red Bank, New Jersey.
John is registered as a RR (Registered Representative) and started their career in finance in 1975. John has worked at 15 firms and has passed the Series 63, Series 65, Series 99TO, Series 52TO, SIE, Series 7, Series 1, Series 9, Series 10, Series 53, Series 51, Series 27, Series 4, Series 14, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Charles Saxton SR's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 21, 2019 - Present
GARDEN STATE SECURITIES, INC.
Office #1: 328 Newman Springs Road, Red Bank, NJ 07701September 13, 2017 - April 20, 2018
TOUSSAINT CAPITAL PARTNERS, LLC
January 28, 2014 - August 31, 2016
GARDEN STATE SECURITIES, INC.
April 26, 2011 - October 3, 2013
HORNOR, TOWNSEND & KENT, LLC
October 4, 2007 - October 14, 2010
SECURITIES AMERICA ADVISORS, INC.
April 25, 2007 - October 14, 2010
SECURITIES AMERICA, INC.
September 23, 2002 - February 8, 2007
TD WEALTH MANAGEMENT SERVICES INC.
May 6, 2002 - February 8, 2007
TD WEALTH MANAGEMENT SERVICES INC.
October 1, 2000 - May 2, 2002
WELLS FARGO CLEARING SERVICES, LLC
December 23, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
August 21, 1996 - September 1, 1999
FCG ADVISORS, LLC
August 23, 1994 - July 23, 1996
GRUNTAL & CO., L.L.C.
September 15, 1989 - August 4, 1994
PRUDENTIAL EQUITY GROUP, LLC
April 19, 1989 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
May 22, 1987 - May 11, 1989
LEHMAN BROTHERS INC.
February 23, 1981 - June 1, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 1975 - July 20, 1977
ALLSTATE ENTERPRISES MANAGEMENT COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/29/2021)
(9/29/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 1
Date: 5/8/1975
Registered Representative ExaminationSeries 8
Date: 1/6/1995
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
GARDEN STATE SECURITIES, INC.
CRD#: 10083 / SEC#: , 8-25790
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMBROSINO, RAYMOND EDWARD | DIRECTOR/SHAREHOLDER | 2070784 |
| DEROSA, KEVIN JOHN | DIRECTOR/SHAREHOLDER | 2314895 |
| PERROTTO, LOUIS LUCKY JR | DIRECTOR/SHAREHOLDER/CHIEF EXECUTIVE OFFICER | 3053498 |
| SARI, SCOTT HENRY | DIRECTOR/SHAREHOLDER | 2226426 |
| MALONE, PATRICK ANTHONY | CHIEF SUPERVISORY OFFICER | 2143703 |
| MCMULLIN, ROBERT | CHIEF FINANCIAL OFFICER | 1540045 |
| TRIGILI, STEVEN DAVID | CHIEF COMPLIANCE OFFICER | 2232496 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 3 |
Red Flags
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