John M. Carland
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 Martin Carland was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 3 firms and has passed the Series 63, Series 3, Series 7 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
February 2, 1995 - November 27, 1995
DOMINION CAPITAL CORPORATION
November 16, 1983 - February 22, 1986
CETERA ADVISORS LLC
August 2, 1983 - September 26, 1983
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
DOMINION CAPITAL CORPORATION
CRD#: 18837 / SEC#: , 8-36989
Contact information
Documents
Red Flags
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