John T. Buckley
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 Buckley was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 27 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
November 3, 2000 - January 10, 2020
CITY NATIONAL ROCHDALE
May 10, 1994 - January 10, 2020
CNR SECURITIES, LLC
July 16, 1993 - May 24, 1994
WEALTH RESOURCE CAPITAL CORPORATION
March 12, 1993 - June 16, 1993
PLM SECURITIES CORP.
August 7, 1989 - February 16, 1993
LIQUIDITY FINANCIAL ADVISORS, INC
July 20, 1988 - September 22, 1988
JRL CAPITAL CORPORATION
December 24, 1987 - May 20, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
August 24, 1983 - December 24, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
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
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
