John F. Davis
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 Frederick Davis, who also goes by Jack Davis, John Frederickj Davis, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2011 - January 4, 2017
VOYA FINANCIAL ADVISORS, INC.
June 10, 1991 - April 25, 2011
ASKAR CORP.
February 2, 1989 - May 21, 1991
THE GREAT-WEST LIFE ASSURANCE COMPANY
December 23, 1988 - February 21, 1989
B.C. CHRISTOPHER SECURITIES CO.
April 21, 1986 - December 23, 1988
MORISON SECURITIES, INC.
June 2, 1982 - May 12, 1986
THE GREAT-WEST LIFE ASSURANCE COMPANY
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
Current Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
