John B. Espenmiller
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 Bernhard Espenmiller was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 5 firms and has passed the 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
January 2, 2018 - January 30, 2019
J.W. COLE FINANCIAL, INC.
July 2, 2009 - December 31, 2017
PARKLAND SECURITIES, LLC
August 1, 2008 - July 6, 2009
NATIONWIDE SECURITIES, LLC
October 4, 1996 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
April 4, 1986 - October 1, 1996
PRINCIPAL SECURITIES, INC.
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
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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