John F. Yakimczyk
Professional summary
John Francis Yakimczyk 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 1979. Prior to being barred, John had worked at 7 firms, which includes ROCKY MOUNTAIN SECURITIES & INVESTMENTS INC., SCHNEIDER SECURITIES INC., WHITEHOUSE & MOORE INVESTMENTS INC., FIRST EAGLE INC., J. W. GANT & ASSOCIATES INC., CHESLEY AND DUNN INC., AMERICAN WESTERN SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 1994 - November 28, 1995
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
March 27, 1991 - September 28, 1994
SCHNEIDER SECURITIES, INC.
December 5, 1990 - March 8, 1991
WHITEHOUSE & MOORE INVESTMENTS, INC.
February 16, 1988 - March 4, 1991
FIRST EAGLE, INC.
December 5, 1984 - March 16, 1988
J. W. GANT & ASSOCIATES, INC.
March 31, 1982 - December 10, 1984
CHESLEY AND DUNN, INC.
June 1, 1979 - March 31, 1982
AMERICAN WESTERN SECURITIES, INC.
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
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
CRD#: 8350 / SEC#: , 8-25105
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HORNING, STEPHEN JAMES | DIRECTOR/PRESIDENT | 250316 |
| VANTREUREN, RALPH DAVID | DIRECTOR/VICE PRESIDENT | 453387 |
| LLOYD, MARY CAROLYNE | SHAREHOLDER(RESIGNED AS DIRECTOR 03/02) | |
| ZALES, MICHAEL JACOB | DIRECTOR/VICE PRESIDENT | 475699 |
| BLANKENHEIM, GEORGE THOMAS | SECRETARY/TREASURER | 23218 |
| CLARKE, JUDITH VAN BROCKLIN | TRADER | 1014789 |
| COX, NEIL AMEL | DIRECTOR/VICE PRESIDENT | 806126 |
| DASCALOS, JAMES | DIRECTOR | |
| MAXEY, CRAIG ALLEN | SROP-CROP/VICE PRESIDENT | 820099 |
| SMITH, ROBERT LEE | DIRECTOR |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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