John T. Treece
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 Treece JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 4 firms and has passed the Series 63, Series 7, Series 24 and Series 27 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, 2000 - February 1, 2010
LIBERTY LIFE SECURITIES LLC
January 25, 1999 - February 21, 2008
LIBERTY LIFE DISTRIBUTORS LLC
July 5, 1985 - September 24, 1998
IFMG SECURITIES, INC.
November 2, 1983 - July 17, 1985
TLP 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
LIBERTY LIFE SECURITIES LLC
CRD#: 47737 / SEC#: , 8-51893
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LIBERTY LIFE ASSURANCE COMPANY OF BOSTON | MEMBERSHIP UNITHOLDER | |
| BARON, ANDREW JAMES | CO-CCO | 2684150 |
| DAUKSEWICZ, WILLIAM JOSEPH | BOARD OF MANAGERS | 1059039 |
| DAUKSEWICZ, WILLIAM JOSEPH | PRESIDENT | 1059039 |
| DAUKSEWICZ, WILLIAM JOSEPH | SUPERVISORY PRINCIPAL | 1059039 |
| GOULD, KENNETH WILLIAM JR | CO-CCO | 2697633 |
| NEAL, CHERYL KINGSFIELD | BOARD OF MANAGERS | |
| O'CONNELL, WILLIAM J. | BOARD OF MANAGERS | |
| SENTLER, STEVEN MICHAEL | BOARD OF MANAGERS | |
| SWEENEY, TIMOTHY MICHAEL | CHAIRMAN, BOARD OF MANAGERS | |
| WOOD, DOUGLAS JOHN | FINANCIAL OPERATIONS PRINCIPAL | 3146278 |
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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