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JK

John Leo Kaminski

CRD# 1061721·Registered 1982 - 2005
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Leo Kaminski was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1982 - 2005. John had worked at 10 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 24 and Series 8 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

44 years in the financial services industry

Current & Past Employments

CHICAGO INVESTMENT GROUP, LLC·CRD# 11853
BD
Chicago, IL
June 21, 2001 - May 24, 2005
ADVANCED EQUITIES, INC.·CRD# 35545
BD
Chicago, IL
December 21, 1999 - June 27, 2001
CHICAGO CAPITAL, INC.·CRD# 39274
BD
Chicago, IL
May 5, 1997 - November 29, 1999
DAIN RAUSCHER INCORPORATED·CRD# 7600
BD
October 19, 1994 - March 31, 1997
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
July 12, 1993 - October 21, 1994
PRINCIPAL FINANCIAL SECURITIES,INC.·CRD# 260
BD
Dallas, TX
February 22, 1993 - July 16, 1993
DAIN RAUSCHER INCORPORATED·CRD# 7600
BD
August 23, 1991 - February 23, 1993
GRUNTAL & CO., L.L.C.·CRD# 372
BD
New York, NY
February 7, 1990 - August 30, 1991
MESIROW INVESTMENT SERVICES, INC.·CRD# 15113
BD
June 12, 1987 - February 15, 1990
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
July 3, 1984 - June 24, 1987
MORGAN STANLEY DW INC.·CRD# 7556
BD
September 24, 1982 - June 22, 1984

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Current Firm

CI
CHICAGO INVESTMENT GROUP, LLC

CHICAGO INVESTMENT GROUP | G. A. O. INC. | G A O INC | CHICAGO INVESTMENT GROUP, LLC | CHICAGO INVESTMENT GROUP, INC.

CRD#: 11853 / SEC#: 8-27507
BD
Terminated by SEC on 09/07/2010

Contact Information

Established

Illinois since 01/01/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
COMPASS CAPITAL MANAGEMENT INTERNATIONAL, LLCOWNER—
MERRITT HOLDINGS II LLCSHAREHOLDER—
BULLARD, ROBERT JONATHANOPS. MGR / RSOFP2975440
LYNCH, JAMES PATRICKMANAGING DIRECTOR2387056
LYNCH, RICHARD PAULCEO/ CCO1938604

Disclosures

Regulatory Event

16

Arbitration

2

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 2000About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1982About the Series 63 exam

Series 5 — Interest Rate Options Examination

Passed Dec 1982

Series 7 — General Securities Representative Examination

Passed Sep 1982About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jun 2000About the Series 24 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Dec 1994

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JK
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