John T. Spicknall
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 Thomas Spicknall, who also goes by Tom Spicknall, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2009 - April 2, 2014
CEROS FINANCIAL SERVICES, INC.
April 22, 2008 - April 22, 2014
CAPITAL RESEARCH ADVISORS, LLC
June 22, 2006 - August 31, 2009
GUGGENHEIM DISTRIBUTORS, LLC
March 30, 2006 - December 31, 2010
CAPITAL INVESTMENT STRATEGIES
April 14, 2003 - June 29, 2006
LPL FINANCIAL LLC
June 1, 2000 - June 29, 2006
LPL FINANCIAL LLC
February 8, 2000 - May 31, 2000
SECURITIES SERVICE NETWORK, LLC
July 1, 1986 - February 3, 2000
LPL FINANCIAL LLC
April 19, 1983 - July 16, 1986
EDWARD JONES
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
CEROS FINANCIAL SERVICES, INC.
CRD#: 37869 / SEC#: , 8-47955
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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