THOMAS ST JOHN is currently employed as a Broker and/or Investment Adviser at MADISON AVENUE SECURITIES, LLC located at 15050 AVENUE OF SCIENCE, SUITE 150, SAN DIEGO, CA, 92128.
THOMAS ST JOHN has worked at MADISON AVENUE SECURITIES, LLC since May 19, 2015
Disclosure History
THOMAS ST JOHN has 2 Disclosure Event(s).
Date: June 04, 2003 Category: Employment Separation After Allegations Firm Name: ED JONES Termination Type: Discharged Allegations: FAILURE TO DISCLOSE ARREST IN TIMELY MANNER, NOT SECURITIES RELATED Broker Comment: ATTORNEY TOLD HIM HE DID NOT NEED TO CONTACT ED JONES UNTIL AFTER PRELIMARY HEARING. CONTACTED THEM AFTER AND WAS TERMINATED
Date: November 06, 2001 Category: Customer Dispute Allegations: A CLIENT FROM MR. ST. JOHN'S PREVIOUS FIRM FILED ARBITRATION ALLEGING THE PURCHASEOF A PFL PREFERRED SELECT VARIABLE ANNUITY WAS UNSUITABLE. (FIRST UNION SECURITIES WAS NEVER GIVEN AN OPPORTUNITY TO RESOLVE THE COMPLAINT; THE CLIENT WENT DIRECTLY TO ARBITRATION) Damage Amount Requested: $15,000.00 Settlement Amount: $5,500.00 Broker Comment: FIRST UNION DECIDED TO SETTLE CASE TO REDUCE COST OF LITIGATION
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