John D. Rutherford
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 Dudley Rutherford was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2007 - January 4, 2022
LOOP CAPITAL MARKETS LLC
June 19, 2006 - May 23, 2007
ABN AMRO INCORPORATED
October 3, 2005 - May 22, 2007
LASALLE FINANCIAL SERVICES, INC.
June 2, 2004 - October 5, 2005
ABN AMRO INCORPORATED
April 1, 1999 - June 2, 2004
BANC ONE CAPITAL MARKETS, INC.
January 8, 1998 - April 1, 1999
BANC ONE CAPITAL MARKETS, INC.
March 3, 1995 - March 10, 1997
HARRIS NESBITT CORP.
February 10, 1994 - September 7, 1994
CITIGROUP GLOBAL MARKETS INC.
August 16, 1993 - September 30, 1993
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
February 13, 1989 - August 17, 1993
SBC WARBURG, INC.
May 28, 1987 - March 9, 1989
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
May 21, 1986 - March 31, 1987
JPMSI
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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