Another SOVEREIGN EQUITY MANAGEMENT CORP and Chatfield and Dean graduate who is a broker at GUNNALLEN
NASD Registered Person: JOHN FITZGERALD CAVENY
CRD Number: 1619345
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PREVIOUS EMPLOYMENT
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This section provides 10 years of an individual's employment history. If the
individual is currently registered with NASD, employment history will be
displayed for the previous 10 years. If the individual is not currently
registered with NASD, employment history will be displayed for the 10 years
prior to termination of the registration. The firm's CRD number, the office of
employment address where the broker was employed, and the dates of employment
will be displayed.
If the broker was previously employed with an investment adviser, the investment
adviser's name and CRD number will display. However, additional information is
not available on investment advisers through the Public Disclosure Program as
they are not NASD registered firms.
If the broker was previously employed with a firm registered with any
self-regulatory organization other than NASD (e.g., the NYSE), either the
firm's name or "Other Business" will display as the Employing Firm. To obtain
the firm's name when "Other Business" displays as the Employing Firm, please
call the Public Disclosure Call Center Hotline number, 1-800-289-9999.
A Firm CRD Number will not display for employing firms that are not NASD
registered firms. Information on these employing firms is not available through
the Public Disclosure Program.
*************** PREVIOUS EMPLOYMENT (1 of 5) ***************
Employing Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Firm CRD Number: 7691
Office of Employment address: BINGHAMTON, NY
Start Date: 12/2000 End Date: 12/2002
*************** PREVIOUS EMPLOYMENT (2 of 5) ***************
Employing Firm: GUNNALLEN FINANCIAL, INC
Firm CRD Number: 17609
Office of Employment address: VESTAL, NY
Start Date: 03/1997 End Date: 12/2000
*************** PREVIOUS EMPLOYMENT (3 of 5) ***************
Employing Firm: SOVEREIGN EQUITY MANAGEMENT CORP.
Firm CRD Number: 20016
Office of Employment address: TAMPA, FL
Start Date: 12/1995 End Date: 03/1997
*************** PREVIOUS EMPLOYMENT (4 of 5) ***************
Employing Firm: W.J. GALLAGHER & COMPANY, INC.
Firm CRD Number: 11097
Office of Employment address: TAMPA, FL
Start Date: 07/1995 End Date: 12/1995
*************** PREVIOUS EMPLOYMENT (5 of 5) ***************
Employing Firm: CHATFIELD DEAN & CO., INC.
Firm CRD Number: 14714
Office of Employment address: TAMPA, FL
Start Date: 06/1992 End Date: 07/1995 |
