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John Peter Purcell

Purshe Kaplan Sterling Investments

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About John Peter Purcell

John Peter Purcell has been a registered representative since 1987. John's experience in the financial industry began at Fitzgerald, Dearman & Roberts, Inc. in 1987. Since then, John has held positions with a number of firms, including Carona & Hodges Securities, Inc., First Devonshire Securities, Inc., and Great Lakes Equities Co. In 1994, John joined Purshe Kaplan Sterling Investments and has been with the firm ever since.

Firm Information

John Purcell is currently registered with Purshe Kaplan Sterling Investments. Purshe Kaplan Sterling Investments is a Corporation formed on December 16, 1993 and is approved to operate in all 50 states, the District of Columbia, and the Virgin Islands. The firm has been registered with the SEC and has 10 regulatory event disclosures and 2 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

181

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 Purcell’s Registration & Firm History

NY

04/15/1994 - Present

Purshe Kaplan Sterling Investments (ALBANY NY)

NJ

04/27/1993 - 06/16/1993

FIRST MONTAUK SECURITIES CORP. (RED BANK NJ)

NA

04/17/1990 - 04/08/1991

SHEEHAN & PURCELL SECURITIES INC.

NA

11/06/1987 - 01/12/1990

FITZGERALD, DEARMAN & ROBERTS, INC.

NA

09/08/1988 - 06/20/1989

CARONA & HODGES SECURITIES, INC.

NA

07/06/1988 - 07/28/1988

WAKEFIELD FINANCIAL CORPORATION

NA

06/12/1987 - 11/06/1987

FIRST DEVONSHIRE SECURITIES, INC.

NA

04/29/1987 - 07/07/1987

GREAT LAKES EQUITIES CO.

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Licenses & Designations

BC

Issued 02/05/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/25/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 5 public disclosures for John Peter Purcell. Review regulatory record here.
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