John L. Finn
Professional summary
John Loras Finn was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, John had worked at 3 firms, which includes INVESTMENT PLANNERS INC., THE INVESTMENT FIRM, DUBUQUE HOLDING COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 1996 - May 13, 1997
INVESTMENT PLANNERS, INC.
August 10, 1989 - September 30, 1996
THE INVESTMENT FIRM
August 30, 1982 - November 10, 1987
DUBUQUE HOLDING COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTMENT PLANNERS, INC.
CRD#: 18557 / SEC#: , 8-35642
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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