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John Seungwoo Baek

Joseph Stone Capital LLC

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About John Seungwoo Baek

John Seungwoo Baek is a financial advisor with Joseph Stone Capital LLC, located in Garden City, NY. John has been in the industry since 2001. John holds the Series 7 and Series 63 licenses. John has previously worked for several financial institutions including Woodstock Financial Group, Inc., First Midwest Securities, Inc., J.P. Turner & Company, L.L.C., Milestone Financial Services, Inc., S.W. Bach & Company, Granite Associates, Inc, Continental Broker-Dealer Corp., and Harrison Securities, Inc.. John is currently registered with FINRA and is licensed in 7 states.

Firm Information

John Baek is currently registered with Joseph Stone Capital LLC. Joseph Stone Capital LLC is a Limited Liability Company formed in 2011. The firm is registered to provide advisory services in all 50 U.S. states and Puerto Rico, as well as with the SEC. Joseph Stone Capital LLC has been the subject of 4 regulatory events and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

21

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 Baek’s Registration & Firm History

NY

06/20/2023 - Present

Joseph Stone Capital LLC (GARDEN CITY NY)

NY

01/16/2014 - 12/21/2021

JOSEPH STONE CAPITAL L.L.C. (MINEOLA NY)

NY

02/16/2011 - 12/03/2013

WOODSTOCK FINANCIAL GROUP, INC. (FARMINGDALE NY)

NY

10/17/2008 - 02/23/2011

FIRST MIDWEST SECURITIES, INC. (GARDEN CITY NY)

NY

12/14/2005 - 10/17/2008

J.P. TURNER & COMPANY, L.L.C. (WESTBURY NY)

NY

02/09/2005 - 12/13/2005

MILESTONE FINANCIAL SERVICES, INC. (BOHEMIA NY)

NY

08/17/2004 - 02/04/2005

S.W. BACH & COMPANY (PORT WASHINGTON NY)

FL

01/06/2004 - 07/23/2004

GRANITE ASSOCIATES, INC (DELRAY BEACH FL)

NY

04/21/2003 - 01/21/2004

CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)

NY

01/10/2001 - 05/20/2003

HARRISON SECURITIES, INC. (PORT WASHINGTON NY)

NY

03/13/2000 - 12/22/2000

MORGAN, TAYLOR & ASSOCIATES, INC. (MINEOLA NY)

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Licenses & Designations

BC

Issued 05/16/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/10/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for John Seungwoo Baek. Review regulatory record here.
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