<<<Dose this person own any position in National Capital??>>>
I am assuming by "this person" you mean Darrel Uselton. I forgot to mention Mark Uselton too... so here is the information from the NASD file on them... who did you used to think owned National Capital?
NASD Member Firm: NATIONAL CAPITAL L.L.C.
CRD Number: 26078
SEC Number: 8-042217
Applicant Name on Form BD: NATIONAL CAPITAL L.L.C.
Main Office Located in NASD District: DISTRICT 5 - NEW ORLEANS
Main Office Address: 6801 BROADWAY EXT SUITE 203 OKLAHOMA CITY,
OK 73116
Mailing Address: 6801 BROADWAY EXT SUITE 203 OKLAHOMA CITY, OK
73116
Prior Business Names: JP TRADING, L.L.C. / JP TRADING, LTD.
*********************************
Types of Business
Broker or dealer making inter-dealer markets in corporate securities over-the-counter
Broker or dealer retailing corporate equity securities over-the-counter
Broker or dealer selling corporate debt securities
Mutual fund retailer
Other (describe each other business briefly on Other Business Detail)
Private placement of securities
Put and call broker or dealer or option writer
Trading securities for own account
Underwriter or selling group participant (corporate securities other than mutual funds)
**************************************
Legal Status
Legal Status: OTHER
State/Country of Formation: OK
Date of Formation: 07/19/1994
Fiscal Year End: DEC
*************************************
Registration
NASD / BROKER DEALER / APPROVED 07/11/1990
OK / BROKER DEALER / APPROVED 04/12/1990
SEC / BROKER DEALER / APPROVED 03/15/1990
File for:
DARREL THOMAS USELTON
CRD #2051430
NASD, OK / NATIONAL CAPITAL L.L.C. / OKLAHOMA CITY , Oklahoma
ALL CURRENT EMPLOYMENTS
Employing Firm: NATIONAL CAPITAL L.L.C.
Firm CRD Number: 26078
Office of Employment
Address: OKLAHOMA CITY, Oklahoma 73118-1422
Start Date: 06/03/1996
End Date: to present
Positions Held: --
Employing Firm: PRIME RATE $CD CENTERS, INC
Firm CRD Number: --
Office of Employment
Address: STILLWATER, Oklahoma
Start Date: 11/01/1994
End Date: to present
Positions Held: PRESIDENT & CEO
Employing Firm: CLARION FINANCIAL SERVICES, INC
Firm CRD Number: --
Office of Employment
Address: STILLWATER, Oklahoma
Start Date: 11/01/1994
End Date: to present
Positions Held: PRESIDENT & CEO
Employing Firm: SELF SUN AMERICA SECURITIES
Firm CRD Number: --
Office of Employment
Address: PERRY, Oklahoma
Start Date: 11/01/1993
End Date: to present
Positions Held: INVESTMENT REP
Employing Firm: SELF-REGIONAL VICE PRESIDENT JHA, INC
Firm CRD Number: --
Office of Employment
Address: OKLAHOMA CITY, Oklahoma
Start Date: 11/01/1993
End Date: to present
Positions Held: REGIONAL V.P. TO MARKET PRE-PA
Other Business
PRESIDENT - FIRST AMERICAN EQUITY HOLDINGS, INC. & NEW
VISION CAPITAL MANAGEMENT INC HOLDING CO.INDEPENDENT
CONTRACT AGREEMENT TO SELL PRE-PAID LEGAL SERVICES & LIFE
INS WITH JHA, INC.(1) MR. DISCOUNT CONVENIENCE STORE 625 6TH
PERRY,OK 73077 405-336-2011 (2) CONVENIENCE STORE (3) OWNER (4)
THIS IS MY WIFE'S PRIMARY RESPONSIBILITY. SHE MANAGES THE
STORE. I CHECK ON HER & HELP OCCASIONALLY, USUALLY FOR NO
MORE THAN AN HOUR IN THE EVENINGS. (5) OCCASIONALLY I WILL
WORK ON SUNDAY AFTERNOON IF THE NEED ARISES FOR
ADDITIONAL HELP. I WILL NOT BE HAVING ANY RESPONSIBILITIES TO
THE STORE DURING NORMAL BUSINESS HOURS. (6) I PLAN TO RETAIN
THE BUSINESS, DUE TO IT IS MY SPOUSES OCCUPATION. IT IS A
SMALL MOM & POP STORE, THAT MY WIFE CAN HANDLE,
PHYSICALLY & FINANCIALLY. I DO NOT INTEND THIS BUSINESS TO
INTERFERE IN ANY WAY WITH MY SECURITIES BUSINESS.
PREVIOUS EMPLOYMENT
A ten year employment history is viewable through the Public Disclosure Program. For
an individual that is currently registered with a NASD member firm the ten years
precedes from the current date. For an individual that is no longer registered with a
NASD member firm, the ten years precedes from the end date of the last employment
with an NASD member firm.
Employing Firm: GRANT BETTINGEN, INC.
Firm CRD Number: 16944
Office of Employment
Address: IRVINE, California 92612
Start Date: 01/15/1998
End Date: 06/23/1998
Positions Held: --
Employing Firm: JP TRADING, L.L.C.
Firm CRD Number: 26078
Office of Employment
Address: OKLAHOMA CITY, Oklahoma 73118-1422
Start Date: 06/03/1996
End Date: 02/12/1997
Positions Held: --
Employing Firm: FIRST AMERICAN EQUITIES, INC.
Firm CRD Number: 31091
Office of Employment
Address: IRVINE, California 92612
Start Date: 12/05/1995
End Date: 10/23/1996
Positions Held: --
Employing Firm:FIRST AMERICAN EQUITIES, INC.
Firm CRD Number: 31091
Office of Employment
Address: STILLWATER, Oklahoma 74074
Start Date: 07/17/1995
End Date: 12/05/1995
Positions Held: --
Employing Firm: FIRST AMERICAN EQUITIES, INC.
Firm CRD Number: 31091
Office of Employment
Address: STILLWATER, Oklahoma 74074
Start Date: 10/10/1994
End Date: 07/17/1995
Positions Held: --
Employing Firm: CIMARRON OIL & GAS, INC.
Firm CRD Number: --
Office of Employment
Address: PERRY, Oklahoma
Start Date: 06/01/1994
End Date: 12/01/1994
Positions Held: V.P. FINANCE
Employing Firm: WMA SECURITIES, INC.
Firm CRD Number: 32625
Office of Employment
Address: NORCROSS, Georgia 30092
Start Date: 03/28/1994
End Date: 07/29/1994
Positions Held: --
Employing Firm: SUNAMERICA SECURITIES, INC.
Firm CRD Number: 20068
Office of Employment
Address: PERRY, Oklahoma 73077
Start Date: 12/09/1993
End Date: 03/29/1994
Positions Held: --
Employing Firm: EDWARD D. JONES & CO., L.P.
Firm CRD Number: 250
Office of Employment
Address: PERRY, Oklahoma 73077
Start Date: 08/17/1992
End Date: 11/12/1993
Positions Held:
Employing Firm: MR DISCOUNT CONVENIENCE STORE
Firm CRD Number: --
Office of Employment
Address: PERRY, Oklahoma
Start Date: 04/01/1992
End Date: 12/01/1993
Positions Held: OWNER
Employing Firm: INVESTMENT CENTERS OF AMERICA, INC.
Firm CRD Number: 16443
Office of Employment
Address: PERRY, Oklahoma 73077
Start Date: 08/13/1991
End Date: 08/17/1992
Positions Held: --
Employing Firm: OKLAHOMA NATIONAL GUARD
Firm CRD Number: --
Office of Employment
Address: TULSA IAP, Oklahoma
Start Date: 04/01/1990
End Date: 10/01/1992
Positions Held: E-4
Employing Firm: EDWARD D JONES & CO
Firm CRD Number:
Office of Employment
Address: CLEVELAND, Oklahoma
Start Date: 04/01/1990
End Date: 08/01/1991
Positions Held: I.R.
Employing Firm: EDWARD D. JONES & CO., L.P.
Firm CRD Number: 250
Office of Employment
Address: CLEVELAND, Oklahoma 74020
Start Date: 11/03/1989
End Date: 08/07/1991
Positions Held: --
Employing Firm: A.L. WILLIAMS/MILICO
Firm CRD Number: --
Office of Employment
Address: FARGO, North Dakota
Start Date: 06/01/1989
End Date: 06/01/1990
Positions Held: Insurance Agent
Employing Firm: U.S. AIR FORCE
Firm CRD Number: --
Office of Employment
Address: MINOT, North Dakota
Start Date: 07/01/1987
End Date: 04/01/1990
Positions Held: ELECTRONIC TECHNICIAN
**********************************
Registrations
Employer: NATIONAL CAPITAL L.L.C.
NASD / General Securities Principal / APPROVE 06/20/1996
---- / General Securities Representative / APPROVED 06/20/1996
---- / Introducing BD/Financial and Oper. Prin. / APPROVED 09/25/1996
OK / Agent / APPROVED 06/20/1996
File for:
CRD# 2229571
MARK ALAN USELTON
ALL CURRENT EMPLOYMENTS
Employing Firm: NATIONAL CAPITAL L.L.C.
Firm CRD Number: 26078
Office of Employment
Address: OKLAHOMA CITY, Oklahoma 73116
Start Date: 06/03/1996
End Date: to present
Positions Held: --
Employing Firm: FIRST AMERICAN EQUITIES INC
Firm CRD Number: --
Office of Employment
Address: HOUSTON, Texas
Start Date: 10/01/1994
End Date: to present
Positions Held: BRANCH MANAGER
Other Business
BRANCH MANAGER-FIRST AMERICAN EQUITIES INC.
PREVIOUS EMPLOYMENT
Employing Firm: JP TRADING, L.L.C.
Firm CRD Number: 26078
Office of Employment
Address: OKLAHOMA CITY, Oklahoma 73118-1422
Start Date: 06/03/1996
End Date: 02/12/1997
Positions Held: --
Employing Firm: FIRST AMERICAN EQUITIES, INC.
Firm CRD Number: 31091
Office of Employment
Address: IRVINE, California 92612
Start Date: 12/13/1995
End Date: 10/23/1996
Positions Held: --
Employing Firm: TIRE STATION/FIRESTONE
Firm CRD Number: --
Office of Employment
Address: HOUSTON, Texas
Start Date: 05/01/1994
End Date: 12/01/1995
Positions Held: ASSISTANT MANAGER
Employing Firm: INVESTMENT CENTERS OF AMERICA, INC.
Firm CRD Number: 16443
Office of Employment
Address: TRINIDAD, Colorado 81082
Start Date: 03/24/1992
End Date: 08/15/1994
Positions Held: ASSISTANT MANAGER
Employing Firm: ODYSSY VENTURES
Firm CRD Number: --
Office of Employment
Address: HOUSTON, Texas
Start Date: 03/01/1991
End Date: 12/01/1991
Positions Held: SALES MGR
Employing Firm: SELF EMPLOYED
Firm CRD Number: --
Office of Employment
Address: HOUSTON, Texas
Start Date: 02/01/1991
End Date: 03/01/1992
Positions Held: CONSTRUCTION
Employing Firm: UNEMPLOYED
Firm CRD Number: --
Office of Employment
Address: LIVINGSTON, Texas
Start Date: 12/01/1990
End Date: 03/01/1991
Positions Held: Unemployed
Employing Firm: BAKER'S CONCRETE CONSTRUCTION
Firm CRD Number:
Office of Employment
Address: HOUSTON, Texas
Start Date: 05/01/1990
End Date: 02/01/1991
Positions Held: PROJECT ENGINEER
Employing Firm: J.D. ABRAMS CONTRACTORS
Firm CRD Number: --
Office of Employment
Address: HOUSTON, Texas
Start Date: 05/01/1989
End Date: 05/01/1990
Positions Held: DISPACTCHER/BUYER
Employing Firm: UNEMPLOYED
Firm CRD Number: --
Office of Employment
Address: HOUSTON, Texas
Start Date: 03/01/1989
End Date: 05/01/1989
Positions Held: Unemployed
Employing Firm: DENVER BUMBER WORKS
Firm CRD Number: --
Office of Employment
Address: DENVER, Colorado
Start Date: 03/01/1987
End Date: 03/01/1989
Positions Held: TRUCK DRIVER
Registrations
Employer: NATIONAL CAPITAL L.L.C.
NASD / Financial and Operations Principal / APPROVED 01/15/1998
---- / General Securities Principal / APPROVED 06/17/1996
---- / General Securities Representative / APPROVED 06/17/1996
OK / Agent / APPROVED 06/18/1 |
