John M. Conant
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 Michael Conant was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 2, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2012 - July 15, 2016
PRINCIPAL SECURITIES, INC.
May 2, 2011 - August 21, 2012
EQUITABLE ADVISORS, LLC
September 1, 2010 - May 9, 2011
PRINCIPAL SECURITIES, INC.
August 5, 2010 - August 30, 2010
NYLIFE SECURITIES LLC
January 16, 2009 - March 4, 2010
SIGNATOR INVESTORS, INC.
March 18, 2002 - December 31, 2007
MML INVESTORS SERVICES, LLC
August 18, 2000 - December 31, 2007
MML INVESTORS SERVICES, LLC
September 1, 1999 - September 7, 2000
METROPOLITAN LIFE INSURANCE COMPANY
September 1, 1999 - September 7, 2000
MSI FINANCIAL SERVICES, INC.
October 2, 1998 - April 13, 1999
PRUCO SECURITIES, LLC.
October 1, 1997 - September 4, 1998
OSAIC FS, INC.
April 28, 1997 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
July 26, 1995 - January 28, 1997
MONY SECURITIES CORPORATION
June 13, 1994 - May 23, 1995
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
July 1, 1991 - January 6, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 1, 1991 - January 6, 1994
SIGNATOR INVESTORS, INC.
April 5, 1983 - June 19, 1990
EQUITY SERVICES, INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
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 2
Date: 1/23/1975
Non-Member General Securities ExaminationCurrent Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
