John A. Dudzik
Professional summary
John Andrew Dudzik is a registered financial professional currently at CONNING INVESTMENT PRODUCTS, INC. located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1981. John has worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Andrew Dudzik's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 10, 2016 - Present
CONNING INVESTMENT PRODUCTS, INC.
Office #1: 250 Park Avenue 15th Floor, New York, NY 10177February 24, 2010 - March 14, 2011
MORGAN STANLEY DISTRIBUTION, INC.
January 2, 2009 - June 10, 2009
LAIDLAW & COMPANY (UK) LTD.
January 13, 2001 - January 22, 2007
DEUTSCHE BANK SECURITIES INC.
January 9, 2001 - January 13, 2001
DB ALEX. BROWN LLC
September 22, 1998 - January 17, 2001
UBS SECURITIES LLC
July 8, 1993 - September 24, 1998
UBS FINANCIAL SERVICES INC.
January 24, 1989 - June 30, 1993
LEHMAN BROTHERS INC.
January 16, 1987 - March 7, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
May 12, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
May 2, 1983 - January 23, 1987
LEHMAN BROTHERS INC.
November 15, 1982 - May 11, 1983
E. F. HUTTON & COMPANY INC
December 11, 1981 - July 13, 1982
DOMIK CORP.
Primary Firm SEC Registration
CONNING INVESTMENT PRODUCTS, INC.
CRD#: 120387 / SEC#: 801-79816, 8-66444
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/15/2016)
(2/11/2016)
(3/9/2016)
(3/18/2016)
(3/30/2016)
(3/22/2016)
(5/19/2016)
(3/8/2016)
(3/15/2016)
Exams
Series 8
Date: 5/27/1999
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
CONNING INVESTMENT PRODUCTS, INC.
CRD#: 120387 / SEC#: 801-79816, 8-66444
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONNING & COMPANY | SHAREHOLDER | |
| BRADFORD, LINWOOD EARLE JR | CHAIR BOARD OF DIRECTORS | 4179446 |
| DALY, MATTHEW KENNETH | PRESIDENT & HEAD OF SALES/ BOARD MEMBER | 2638773 |
| GEORGE, KENNETH RONALD | FINOP | 2643369 |
| LEE, JUNG WON | MANAGING DIRECTOR, CFO & COO, BOARD MEMBER | 2791334 |
| PEARCE, ROBERT STEDMAN | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 1991468 |
| SMALLEY, VI (VIOLA) R. | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | 5899872 |
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 517,711,336 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
