John D. Reese
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John David Reese was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 7, Series 5, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2011 - May 26, 2021
UHLMANN PRICE SECURITIES, LLC
January 4, 2010 - March 16, 2010
ALLSPRING FUNDS DISTRIBUTOR, LLC
January 25, 2008 - January 4, 2010
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
January 27, 2004 - January 4, 2008
EUROPEAN CREDIT MANAGEMENT INC.
November 6, 2002 - February 26, 2004
BARCLAYS CAPITAL INC.
December 19, 2000 - May 3, 2001
BONDBOOK, LLC
December 24, 1981 - December 20, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 12/19/2022
General Securities Representative ExaminationSeries 5
Date: 10/22/1981
Interest Rate Options ExaminationSeries 8
Date: 2/6/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UHLMANN PRICE SECURITIES, LLC
CRD#: 42854 / SEC#: , 8-50041
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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