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JP

John Perez

Some features on this profile are disabled
CRD#: 1093871
JP

Professional summary

John Perez 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 1983. Prior to being barred, John had worked at 7 firms, which includes IFMG SECURITIES INC., CAMBRIDGE INVESTMENT RESEARCH INC., SECURITIES AMERICA INC., INDEPENDENT FINANCIAL SECURITIES INC., DETWILER FENTON WEALTH MANAGEMENT INC, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 20, 1998 - December 4, 2000

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

March 21, 1998 - July 7, 1998

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
FAIRFIELD, IA
Past

July 25, 1996 - December 31, 1997

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

January 9, 1995 - August 5, 1996

INDEPENDENT FINANCIAL SECURITIES, INC.

BD
CRD#: 19924
Past

January 26, 1989 - August 2, 1994

DETWILER FENTON WEALTH MANAGEMENT INC

BD
CRD#: 16063
BOSTON, MA
Past

March 10, 1983 - February 1, 1989

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
Past

March 10, 1983 - February 1, 1989

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 6
Date: 2/7/1983
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 4/28/1993
Investment Company Products/Variable Contracts Principal Examination

Current Firm

IS
IFMG SECURITIES, INC.
IFMG SECURITIES, INC. | TORCHMARK BROKERAGE SERVICES, INC. | LIBERTY SECURITIES CORPORATION

CRD#: 14416 / SEC#: , 8-30670

BD
Terminated by SEC on 11/09/2008
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/03/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.PARENT COMPANY
ARNOLD, DAN HOGAN JRDIRECTOR, VICE PRESIDENT, SECRETARY2557410
MAHER, CHARLES WILLIAMDIRECTOR2085378
VANNOY-PINEDA, KATHLEEN DENISECHIEF COMPLIANCE OFFICER1347526

Disclosures

Regulatory Event5
Arbitration4

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.

Company Information

IFMG SECURITIES, INC.

CRD#: 14416

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