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John Crawford Auty

Wall Street Access

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About John Crawford Auty

John Crawford Auty is a Registered Representative with Wall Street Access. John has been in the financial services industry for over 24 years. John is licensed in New Jersey and New York. John has earned the Series 7, Series 24, Series 55, Series 57TO, and Series 63 licenses.

Firm Information

John Auty is currently registered with Wall Street Access. Wall Street Access is a partnership formed in February 1981. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have been involved in 10 regulatory events and 15 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

32

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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John Auty’s Registration & Firm History

NJ

07/02/2018 - Present

Wall Street Access (Park Ridge NJ)

NJ

09/18/2008 - 07/02/2018

VANDHAM SECURITIES CORP. (Park Ridge NJ)

NY

08/18/2006 - 09/11/2008

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NE

08/02/2004 - 08/18/2006

TD WATERHOUSE CAPITAL MARKETS, INC. (BELLEVUE NE)

NJ

11/12/2003 - 07/16/2004

CROWN FINANCIAL GROUP, INC. (JERSEY CITY NJ)

NJ

04/17/2002 - 11/12/2003

KNIGHT EQUITY MARKETS, L.P. (JERSEY CITY NJ)

CT

04/19/2000 - 04/08/2002

SCHWAB CAPITAL MARKETS L.P. (STAMFORD CT)

NE

10/01/1998 - 04/18/2000

NATIONAL DISCOUNT BROKERS (OMAHA NE)

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Licenses & Designations

BC

Issued 10/08/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/15/1999

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/12/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 09/30/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for John Crawford Auty.
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