John F. Schlagheck
Professional summary
John Francis Schlagheck was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John Francis Schlagheck was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 19 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2022 - March 6, 2023
CAPE SECURITIES INC.
August 17, 2017 - October 5, 2022
INTERVEST INTERNATIONAL EQUITIES CORPORATION
February 5, 2007 - August 18, 2017
SOUTHEAST INVESTMENTS, N.C., INC.
October 17, 2002 - December 19, 2005
PARKLAND SECURITIES, LLC
September 19, 2001 - April 26, 2002
VOYA FINANCIAL ADVISORS, INC.
July 27, 2001 - October 11, 2001
CETERA ADVISORS LLC
July 25, 2001 - October 15, 2001
VESTAX SECURITIES CORPORATION
July 17, 2001 - October 23, 2001
CETERA INVESTMENT SERVICES LLC
July 17, 2001 - July 26, 2002
GUARANTY BROKERAGE SERVICES, INC.
July 17, 2001 - July 26, 2002
BANCNORTH INVESTMENT GROUP, INC.
July 17, 2001 - July 26, 2002
BANCWEST INVESTMENT SERVICES, INC.
July 3, 2001 - October 16, 2001
IFG NETWORK SECURITIES, INC.
April 26, 2000 - October 12, 2001
LOCUST STREET SECURITIES, INC.
July 14, 1998 - April 14, 2000
FSC SECURITIES CORPORATION
November 21, 1994 - July 20, 1998
LPL FINANCIAL LLC
August 10, 1994 - October 25, 1994
NORTH AMERICAN FINANCIAL GROUP, INC.
June 23, 1982 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
June 23, 1982 - May 24, 1994
IDS LIFE INSURANCE COMPANY
June 23, 1982 - May 24, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
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 99TO
Date: 1/25/2023
Operations Professional ExaminationCurrent Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
